FinOp Services for the Broker Dealer Industry

ACI’s highly experienced team of licensed FinOps and CPAs provide independent broker dealers with turnkey accounting solutions that minimize risk, reduce costs, and maximize reporting accuracy.

ACI FinOps, CPAs, and Consultants for Broker Dealers

Series 27 FinOp Consultants

Evaluate why outsourcing your Financial and Operations Principal may simultaneously provide your broker dealer with both cost savings and expertise.

Accounting & FinOp Services

Learn how ACI’s highly experienced Series 27 licensed Broker Dealer FinOps assist independent broker dealers with fulfilling regulatory reporting obligations and internal management reporting.

What is a FinOp?

FINRA Rule 1022 requires that all broker-dealers employ a qualified Series 27 Financial and Operations Principal (FinOp). Learn more about the duties and responsibilities of the FinOp role.

Resources & Information

ACI's Jay Gettenberg Nominated for FINRA District 10 Committee Membership

September 20, 2017

The Impact of PCAOB and How ACI Can Help Reduce Audit Fees

April 27, 2017

The Dodd-Frank Wall Street Reform and Consumer Protection Act…

New FINRA CAB Rules

April 20, 2017

Capital Acquisition Brokers (“CABS”) were created as a new…

ACI’s Elizabeth Attanasio Rings NASDAQ Closing Bell for Autism Awareness Month

ACI’s Attanasio Rings NASDAQ Closing Bell for Autism Awareness Month

April 20, 2017

April is World Autism Awareness Month and we at ACI were proud…

Client Testimonials

What Financial Services Leaders say about ACI

“ACI was engaged to act as our FINOP and manage our finances at W.R. Hambrecht & Co, LLC. Jay Gettenberg serves as our CFO and effectively oversees the ACI staff to ensure our regulatory filings are accurate and timely. They have assisted us through FINRA inquiries without exception and have provided us with increased transparency in our efforts to manage cash flows and effectively operate our business. As a supplement to the accounting expertise we have received, Jay Gettenberg assisted us in facilitating a significant transfer of retail brokerage accounts when we opted to refocus our operations on investment banking. His experience and contacts within the industry were invaluable in our efforts to find a broker dealer that could properly service these customer accounts.”

Mike ZampardiCEO, W.R. Hambrecht & Co, LLC

“Meridian Equity Partners has used ACI since our inception in 2006. They have a complete grasp of the broker dealer accounting infrastructure and have gone above and beyond for Meridian over the years. We are happy to have them as an extension of our team.”

Jon AcquafreddaSenior Managing Partner, Meridian Equity Partners, Inc.

“I have happily entrusted my financial operations to ACI and the Gettenberg family for over 5 years. The ACI team is thorough, consistent, reliable, intelligent and well-educated on broker dealer and regulatory issues. I would highly recommend ACI for Fin-Op and other financial related services.”

Reid DrescherPresident & CEO, Spencer Clarke , LLC

“Integral Derivatives is a broker/dealer on the floor of the NYSE and also has a presence on other stock, option and commodity exchanges. We have used Accounting and Compliance International (ACI) since the start of our business in 2009 and could not be happier with the services they provide. Gary Gettenberg has put together a team of professionals that have proven to be invaluable to our business. In addition to handling all of our financial books and records, ACI is also our FINOP and they have consistently delivered timely and accurate reporting. Throughout our relationship, Gary Gettenberg has provided our firm with wisdom, guidance and intelligence that has clearly helped us build our business. Gary has a vast knowledge of the securities business and with it he possesses the highest possible integrity. Integral Derivatives has never had any second thoughts about doing business with Gary Gettenberg and ACI.”

William FallonCEO, Integral Derivatives

“When we first acquired SageTrader, LLC it was a small fully-disclosed broker dealer with a dozen accounts. I needed a complete general ledger support team, with regulatory reporting expertise; that I could rely on to help me manage the firm’s monthly accounting. I had worked with ACI in the past and they were definitely the outsource solution I needed. I have a great working relationship with one of the principals, Jay Gettenberg , with whom I have been able to work with to customize and expand the firm’s general ledger and reporting as the firm has grown and become more complex. It gives me comfort to know that ACI has a depth of staff, so I don’t have worry about illness and turnover which can otherwise be huge at a small firm. I also know that ACI is keeping up with regulatory trends and changing reporting requirements which helps me to be more confident in meeting my financial compliance needs.”

C. Mark BoldChief Financial Officer, SageTrader, LLC

“ACI has been our personal and corporate accounting firm for nearly a decade. The owners and staff are an extraordinary group of professionals who have been instrumental in our firm’s success. I consider them to be one of my most valuable resources for our business, and I recommend them frequently without any reservations.”

Daniel TandySenior Managing Director, Prime Executions, Inc.

“I have worked closely with ACI and the Gettenberg family over the past 25 years. Through management and ownership with various entities, I have always returned to ACI to utilize their services. Their professionalism and knowledge of the most complex financial accounting situations has always been a welcomed relief to the daily stresses of Wall Street.”

Rich CohenCEO, Raven Securities Corp.

“JNK Securities Corp. is a New York City based broker‐dealer, founded in 1993, that provides 3^rd Party Research along with Listed and OTC trading. We have used ACI for over 20 years and can’t thank them enough for the superior service they provide. ACI manages our financial books and records and has consistently provided excellent accuracy and communication in everything they do. They have a thorough understanding of the securities business and always go the extra mile for their clients. We couldn’t be happier with ACI.”

Scott KaplanCEO, JNK Securities Corp.

“I have been a client for many years and have been completely satisfied. The thoroughness, exactness and thoughtfulness in ACI’s work is always displayed.”

Norman SchlangerRetired Partner, Spear Leeds & Kellogg

Get in Touch

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