What services does FinOp Outsource provide?

FinOp Outsource offers outsourced FINOP, CFO, and regulatory compliance services for broker-dealers, including FOCUS reporting, net capital computation, and regulatory liaison.

Who leads FinOp Outsource?

The firm is led by James R. Richards, CFA, a FINRA Series 27 Principal with extensive broker-dealer experience.

Outsourced FINOP & CFO Services for Broker-Dealers

Comprehensive regulatory compliance and financial oversight to help your firm thrive.

Our Core Services

Financial Reporting (FOCUS)

Accurate and timely preparation of FOCUS reports, ensuring full compliance with FINRA and SEC requirements.

Net Capital Computations

Rigorous monitoring and optimization of net capital under SEC Rule 15c3-1 to maintain financial health.

Regulatory Liaison & CFO Support

Expert interface with regulators and strategic financial guidance tailored for broker-dealers.

Meet James R. Richards, CFA

FinOp Outsource is led by James R. Richards, a seasoned financial professional with deep expertise in broker-dealer operations. As a FINRA Series 27 Principal and a Chartered Financial Analyst (CFA), James brings a rigorous, detail-oriented approach to every client engagement. His commitment is to provide not just compliance, but a strategic partnership that enhances your firm's financial stability and operational efficiency.