Increasing Regulations Require the Help of Licensed FinOps

As a broker-dealer, you are in a highly competitive industry where profit margins have narrowed, and regulations have increased. Multiple demands can shortchange the time you have to spend on your core competencies like underwriting, trading, custody, and long-term profitability.

Broker-dealers have been mandated by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) to employ the specialized services of a Financial and Operations Principal (FinOp) and handle essential accounting duties of business owners and individual investors.

Goldcrest Consulting Services, LLC Sets You Up for Success

You need high caliber, customized FinOp support to remain compliant with controlling agencies and make prudent financial decisions. Jon Nixon has the Series 27 licensure and decades of experience that allow him and his dedicated team to protect you from regulatory infractions and help you fulfill audit and tax accounting needs.

By outsourcing your FinOp requirements to us, we reduce your overhead expenses without sacrificing quality service. We also provide:

• Monthly or Quarterly Focus Reports – Financial and Operational Combined Uniform Single Reports
• Quarterly FINRA Form SSOI – Supplemental Statement of Income
• Annual Schedule 1
• New – Form Custody for Broker-Dealers
• Submit Focus Reports to Clearing Agents
• SIPC-6 and SIPC-7 Filings
• Prepare Year-end financials

Comprehensive Accounting Services

Goldcrest Consulting Services LLC works as a liaison with FINRA and the SEC, so you have peace of mind knowing that your records are accurate, properly submitted and on-time. We work with you to increase control of your business expenses and reduce operational and infrastructure risks.

We help you stay focused on making informed business decisions and strengthening your long-term profitability. 

Diverse and Strategic Relations

We have developed relationships with compliance consultants, law firms, and audit firms from around the world. Our global perspective and extensive diversity can help you grow and expand your business transactions in new and profitable directions.

Superior Broker Dealer Support with Goldcrest Consulting Services, LLC

If you are a part of a broker-dealer and need a FinOp for your firm, contact Goldcrest Consulting Services, LLC. We take tremendous pride in our longstanding relationships with clients and can provide you with a mix of large-firm resources and local in-person service.

Call our New York, NY, office today for a consultation. We conveniently provide multiple points of contact, so help is readily available and only a phone call away.

FinOp Services

FinOp Responsibilities