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.

FINRA-FinOP-Consultant

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.

Rubicon Consulting Group provides services that facilitate oversight of detail-intensive processes, such as addressing compliance issues, and preparation and filing of mandatory reports. These services liberate business owners from dealing with the minutia of everyday matters to focusing on the more important aspects of running their operations.

Founder

Ed-Smith-Rubicon-Consulting, San Francisco FinOp manager

Edward Smith, Founder Rubicon Consulting Group

Financial and Operations Principal

Mr. Smith brings his years of experience in the securities industry to the formation and leadership of Rubicon Consulting Group. He guides his team members to solve complex matters and deliver measurable results in rapidly changing business environments.

Registered with the FINRA as a Financial and Operations Principal (Series 27) and a graduate of the University of California at Berkeley, Ed has demonstrated himself as the consummate financial professional who offers a history of adaptability, attention to detail, and unyielding dedication.

Credentials

  • Bachelor of Arts from UC, Berkeley
  • Series 4, 7, 24, 27, and 63 licenses
  • Fluent in Spanish

 

In Summary

The financial specialists at Rubicon Consulting Group are as comfortable with crunching numbers to produce sound financial statements as with managing multiple client accounts at once and making sound decisions concerning their financial future. Whether it’s researching FINRA and SEC rules, complying with FINRA regulatory examinations, or computing net capital, RCG’s responsibilities cover a wealth of concerns.

 

Contact Us

An investment in a skilled Financial Operations Principal, such as one of the FinOps managed by Rubicon Consulting Group, is a wise decision that will give you financial peace of mind for years. Contact Rubicon Consulting Group to discuss your company’s individual needs and to schedule a consultation.


For more information about Rubicon Consulting Group, LLC, broker dealer financial regulatory complianceFINRA and SEC regulations, and Series 27 Financial and Operations Principal (FinOp) services, please contact us.