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Outsourced FinOp

Outsource with Confidence

As a CPA firm providing FinOp services since the 1980’s, DFP Partners brings over four decades of experience to broker-dealers of all sizes.

A FinOp oversees the books and records and monitors a FINRA member firm’s adherence to industry net capital rules and related rules and regulations, as well as the filing of all financial regulatory reports. Every broker-dealer is required to maintain the services of a FINRA Series 27 Financial and Operations Principal (FinOp) — and outsourcing that role to DFP Partners is often the right solution.

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How DFP Partners can help you:


Outsourcing the FinOp role can have greater financial benefits than hiring that level of talent, full-time, in-house.

Comprehensive Offerings

A DFP FinOp can assume or assist with all aspects of the required FinOp role, including managing financial duties, FINRA filings, technical assistance, and more. Our professionals have wide ranging experience working with many different types of Broker-Dealers.

Full Team of Resources

Rather than hiring one full-time FinOp, you have access to the full resources of DFP Partners’ FinOps and Accounting professionals.

DFP Partners provides full-service solutions and can satisfy other outsourcing needs of broker-dealers. All Broker-Dealers are required to designate a Principal Financial Officer (PFO) and a Principal Operations Officer (POO), two positions with which we have extensive outsourcing experience.

One of our qualified Series 27 licensed professionals can serve as your firm’s POO overseeing day-to-day operations, including:

  • The receipt and delivery of securities and funds
  • Safeguarding customer and firm assets
  • Processing dividend receivables and payables and reorganization redemptions and the books and records related to such activities.
Looking for more details?
FinOp, PFO, POO & Supervisory Services Brochure
Read our feature on the FinOp role from the NSCP Currents Publication