Financial Principal

Compliance Advisers, Inc. provides assistance to broker dealers in meeting the requirements of SEC mandated annual accounting audits for securities Broker Dealers. We engage highly qualified by examination and experience registered Financial Principals that can be outsourced to your firm. The role of the FinOp has evolved into an important function within a broker/dealer environment and one which we take very seriously when providing this service to our clients.

See The Changing Role of the FinOp by Karen Fischer, SIPA July 15, 2008.

Contact us or Request a Customized Quote today for a financial package created specifically to meet your needs.

Customized Compliance Solutions™