FINOP & CFO Solutions, LLC
We are the answer to your regulatory and financial reporting needs.
Why Outsource the FINOP responsibilities?
It is critical
to have a seasoned industry professional to interpret the rules and apply industry best practices. Furthermore, the FINOP must have an effective understanding of the firm’s business, its strategies, risks, operations and management’s financial reporting requirements.
Outsourcing the FINOP function
is a cost effective way for a you to leverage a FINOP with the extensive experience required to meet the challenges facing you. Outsourcing enables you to focus on what truly matters to your business: exceeding client expectations, growing the business, and generating revenue.
The regulatory environment
has become increasingly complex and the investment business is becoming more competitive. We stay abreast of regulatory compliance issues, new financial accounting rules and interpret the effect on your business, so you don’t have to.
Why Choose FINOP & CFO solutions, llc?
We provide unparalleled
customer service, delivering quality professional solutions. We partner with your team to provide accurate and timely regulatory reporting, CFO and accounting resources. We bring our years of experience and knowledge to meet the regulatory requirements of the SEC and FINRA. We draw on our expertise to provide quality financial reporting, insights to trends, and new ideas to management.
We are a strategic partner,
working directly with you as your trusted advisor. We take a holistic approach to finance because finance is intertwined with all aspects of the business. We plan our engagements carefully in advance of deliverables, and also stand on-call to respond to your changing needs.
FINOP services
We provide
FINOP, CFO and Accounting services, leveraging our expertise and experience to provide solutions customized for you. Solutions may be as streamlined as managing your FINOP responsibilities, or as broad as leading your CFO and Accounting functions. FINOP & CFO Solutions provides onsite and remote services with licensed, seasoned finance personnel. We have 30 years of experience, hold Certified Public Accountant and Certified Management Accountant designations, and hold Series 7, 24 and 27 licenses.
FINOP (Series 27 Financial Operations Principal)
The Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) require broker/dealers to comply with rules governing the preparation and retention of financial books and records.
The responsibilities of a FINOP include the preparation and preservation of financial records, maintenance of adequate Net Capital, compliance with investor protections and other regulations
What our colleagues say
“Gary Cuccia is a securities industry veteran that brings insight and expertise across several disciplines that are critical to the efficient running of a broker dealer. Having worked in both the financial institution and independent channels, Gary is quick to adapt customized solutions and lend strategic guidance to program execs.”
Dan Overbey | Managing Director, Atlantic Capital Advisors“Gary’s experience as a CFO and FINOP ranges across a broad spectrum of broker/dealer and investment advisor distribution systems from the wire house to the retail wealth management firm. That insight is rare and, combined with his professionalism and workmanship, make him truly a rare and valuable resource in our industry.”
Michael Brodeur | Vice President, Business Development, Broadridge Advisor Compensation Solutions