Exceptional FinOp Services for Broker-Dealers

Exceptional Trusted Accurate Expert Experienced Responsive FinOp Services for Broker-Dealers

Reliable support. Regulatory precision. Peace of mind.

Comprehensive Service at Scale

ACI is the FinOp partner for broker-dealers who expect excellence. We offer a diverse set of regulatory accounting and reporting solutions – with unwavering attention to detail and a proven team you can rely upon.

FinOp (Series 27) Services

Expert regulatory licensing and financial reporting oversight by registered professionals who exceed FINRA requirements, reduce risk and strengthen your compliance program

Regulatory Financial Reporting

Accurate, timely filings that keep you compliant and audit-ready – so you can focus on clients and growth

Regulatory Bookkeeping

Day-to-day bookkeeping support – accurate books, clear financial records and full compliance with GAAP standards

Accounts Receivable Management

Streamlined receivables oversight with dual-authenticated vendor bill pay and clear month-end reporting

Accounts Payable Management

Maintaining a clear view of your liabilities and vendor payment controls to promote security and regulator-readiness

Carrying/Clearing Firm Support

Preparing customer reserve computations and establishing well-defined internal operational controls that ensure you’re ahead of the curve

Internal Control Over Compliance (ICOC) Best Practices

Subledger mapping, security counts, funds flow modeling and more – tailored for broker-dealer operations

FINRA New Member Application Support

Guiding you through the application process with capital planning, pro forma budgeting and the regulatory licensing required to obtain membership approval

PCAOB Audit & FINRA/SEC Exam Support

Comprehensive audit preparation, including financial statement and footnote preparation, plus expert guidance to help you navigate audits and exams without surprises

Our scale, experience
and retention set us apart.

0 +

Licensed FinOps and CPAs

0 +

Years in business

0 +

Current ACI employees have stayed 5+ years

0 +

Current ACI clients have stayed 5+ years

0 +

FINRA New Member Applications supported over 4 years

0 %+

Of all FINRA member broker-dealers work with ACI

Trusted Long-Term Relationships

As your dedicated partner, we become a seamless extension of your team, fully immersed in the complexities of your business. We understand that your success drives ours – so we’re not just a service provider, we’re a strategic ally committed to enhancing your growth and securing your competitive edge.

“We’ve had the privilege of working with ACI for over a decade, and they’ve become far more than just our regulatory accounting firm – they’re a trusted advisor and true partner in our business. With both of our firms having been established circa 1984, there’s a shared foundation of experience, stability and 40 years of industry knowledge that makes this relationship especially valuable. ACI understands the unique challenges and regulatory demands of our industry and consistently provides us with reliable guidance, clear communication and an unwavering commitment to excellence.”

Hilary Bergman

Chief Executive Officer, First Liberties Financial

“We’ve worked with ACI for several years, and their expertise in FINRA regulatory accounting is second to none. From FOCUS filings to net capital calculations, they handle every detail with precision and clarity. Their team is responsive, knowledgeable and always ahead of the curve when it comes to regulatory updates. ACI isn’t just our accounting firm – they’re a trusted partner who gives us confidence through every turn.”

Christine Sebastiano

CFO - Corporate Finance, KROLL

“ACI has been a consistently reliable and valued partner to Atomic over the years.”

David Dindi

CEO, Atomic

“I highly recommend ACI. The team is extremely knowledgeable regarding brokerage accounting and operations and committed to providing excellent service to their clients.”

Howard Green

Chief Financial Officer, Axos Clearing

Unmatched FinOp Expertise

We’ve serviced hundreds of broker-dealers over the decades, from tech-driven startups to established industry leaders. No two engagements are the same, but our commitment to providing precise financial insights and dependable financial stewardship is unwavering, ensuring your business thrives no matter the challenge.

Announcements, headlines and unique perspectives on the evolving regulatory landscape

October 6, 2025
Announcements

Introducing ACI’s New Brand: Built on 40 Years of FinOp Excellence

July 1, 2025
Insights

ACI Advocacy Brings Regulatory Clarity to Series 99 Ambiguity

June 23, 2025
Insights

Simplifying Audit Compliance: What the End of Notarization Means for Broker-Dealers

February 28, 2025
Media Coverage

ACI Featured in Commercial Observer

A Culture of Growth and Innovation

At ACI, driven professionals are the cornerstone of our clients’ success – and their own. We foster a dynamic, growth-oriented environment where innovation thrives. Here, you don’t just grow your skills; you lead, shape and build a future that’s as ambitious as the clients we service.