Financial and Operations Principal

• Register with FINRA as the firm's Series 27 licensed Financial and Operations Principal
• Register with FINRA as the firm's Series 99 licensed Operations Professional
• Prepare monthly Net Capital Computation
• Review monthly financials and propose necessary accounting adjustments
• Prepare and file accurate Focus Reports (monthly and/or quarterly)
• Prepare annual Schedule I filing
• On-site firm visit(s) each calendar year
• Interface with regulators as necessary
• Enhance written supervisory procedures related to the financial responsibility rules
• Participation in the firm annual audit as necessary