Description: Our firm provides Financial Principal and Compliance services for registered broker dealers and firms that are in the pre membership stage for new broker dealers. We will conduct AML audits and mock audits.
regulatory compliance (215) aml (190) anti-money laundering (58) finra (28) series 24 (5) finop services (3) series 27 (1) financial principal (1)
FINOP / Series 27- Outsourcing Services
At Edward Gregory and Associates, LLC, provides national outsourcing services for Financial and Operations Principal (FINOP/ Series 27). As your FINOP we strive to provide practical accounting solutions for small broker dealers focusing on remote access for people on the go. For both mature companies to start ups offers the right combination of accounting services, to match your budget.
Services generally start at $1,500 per quarter.