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FinOp Services

InvestmentCare's can register with your firm as a Financial and Operations Principal ("FinOp") if your firm has less than a $100,000 minimum Net Capital requirement. Our FinOp services include the following:
  • A former NASD regulator will register with your firm as a Financial and Operations Principal
  • Review and approval your firm’s monthly financial statements
  • Preparation and approval of your monthly Net Capital Computation
  • Preparation and filing of quarterly FOCUS filings
  • Preparation of a monthly financial statement and Net Capital Computation package for senior management
  • Respond to NASD inquires about financial statements and FOCUS filings
  • Submission of all SEC Rule 17a-11 notices if required
  • Bookkeeping services are also available upon request
  • Contact (818) 386-6900 for more information about InvestmentCare’s FinOp services.

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