"Stay Compliant with Rubicon Consulting"

Expert FinOp Services for Broker/Dealers

FinOp Services

Staying compliant with the FINRA and the SEC is a primary concern for broker/dealers and part of the FinOp services provided by RCG. Timely financial filings, annual audits, FINRA examinations, and the preparation of regulatory reports are just a few of the many functions that need attention on a regular basis—responsibilities normally handled by a dedicated Financial and Operations Principal (FinOp). While larger firms can absorb the cost of staffing in-house FinOp professionals, smaller broker/dealers need to replicate these FinOp services—affordably.

Rubicon Consulting Group (RCG) is Scottsdale, Arizona’s most effective FinOp provider, offering cost-effective solutions—from coast to coast—to broker/dealer workflow requirements and comprehensive FinOp services. With almost two decades of industry experience, your organization will benefit from having one of RCG’s highly trained FinOp services consultants customize a program to your specific needs. Whether you’re in Phoenix, San Francisco, or New York City, RCG’s consultants will travel to your location, analyze your existing financial records, and determine the appropriate course of action to ensure proper compliance.
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Frequently Asked Questions

Below are answers to questions we frequently receive about broker dealer financial regulatory compliance, FINRA and SEC regulations, and Series 27 FinOp services.  If your question does not appear below or the answer is not satisfactory, please contact us.

  • What is a Financial and Operations Principal (FinOp) and why do I need one?
      • What is a FinOp?
        A FinOp is a Financial and Operations Principal, an individual who has passed a qualifying exam from the FINRA (Financial Industry Regulatory Authority).  For securities businesses, FinOps assist with regulatory and reporting requirements, which are necessary to comply with FINRA and SEC rules.


    • Why do I need a FinOp?
      For those in the securities business, on a periodic basis broker/dealers are required to file certain reports, such as a FOCUS (Financial and Operational Combined Uniform Single) report, among others.  One or more of these reports must be prepared by a licensed Series 27 or Series 28 FinOp. Learn more…

Financial and Operations Principal

Company Background

Headquartered in Scottsdale, Arizona, (a suburb of Phoenix), Rubicon Consulting Group (RCG) was founded in 2010 by Edward Smith, a professional Financial and Operations Principal (FinOp) leader who has been working in the securities industry since 1999.


This boutique consulting firm is comprised of accounting specialists who have been handpicked by Edward Smith to perform FinOp responsibilities for clients from San Francisco to New York. RCG’s esteemed group of established licensed professionals is continually entrusted with supervising all financial and operational matters of the firm and is able to seamlessly interface with CEOs, CFOs, CCOs, CTOs, tax accountants, auditors, and in-house lawyers.
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Rubicon Consulting Group