• Our Company

Building Confidence in Financial Operations

With decades of FinOp expertise and a relentless commitment to clarity and precision, ACI is your trusted partner for day-to-day bookkeeping, financial GAAP accounting, FinOp (Series 27/28) licensing, operational 15c3-3 support and expansive regulatory oversight.
  • Our Story

A Legacy of Expertise and Partnership

For over 40 years, ACI has been at the forefront of financial operations and regulatory reporting services for U.S. broker-dealers. Founded with a mission to simplify financial complexity and empower broker-dealers to thrive, we’ve grown alongside our clients, who range from tech-driven startups to industry leaders. 

When we signed our first lease on Wall Street in the summer of 1986, we did so with the expectation of specifically serving securities firms located on the trading floors of the New York Stock Exchange and the American Exchange. In the decades since, we have expanded to make our services available to all U.S. domiciled broker-dealers, many of whom operate around the globe. We’ve witnessed an incredible amount of industry innovation, consolidation, democratization and growth, and we’re proud to have supported many of the firms that helped drive these evolutions.

Our commitment to serving as an extension of our clients’ teams is foundational to our business. As a knowledge partner, we anticipate regulatory change, align with your unique goals and provide financial stewardship you can count on.

More Than a Service Provider – A Strategic Ally

Our deep industry connections set us apart. ACI maintains close relationships with FINRA and other key Designated Examining Authorities (DEAs) – ensuring that we not only understand the rules, but also know how to navigate them for your ultimate success. 

ACI is a fixture at industry conferences and events, maintaining close ties with a network of critical industry participants and remaining at the front lines of regulatory change. Our team is deeply embedded in the broker-dealer community, ensuring you’re always informed and ahead of the curve. 

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  • ACI by the Numbers

Our scale, experience
and retention set us apart.

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Licensed FinOps and CPAs
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Years in business
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Current ACI employees have stayed 5+ years
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Current ACI clients have been retained 5+ years
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FINRA New Member Applications supported over 4 years
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Of all FINRA member broker-dealers work with ACI

A Committed Team

Our team of FinOp professionals is dedicated to ensuring that each client relationship is built on trust, reliability and deep regulatory expertise. We serve as an extension of your broker-dealer business – so you can focus on growth. That commitment starts at the top and extends to every level of our organization.
Meet Our Team

A Culture of Growth and Innovation

At ACI, we invest in our people and foster an environment where learning, collaboration and innovation thrive. Our team is encouraged and driven to make an impact – for our clients and in shaping the future of the broker-dealer industry.
Explore Careers @ ACI
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  • FinOp FAQs

Below are our answers to some of the questions we’re most frequently asked by new and prospective clients about ACI’s FinOp and regulatory support services.

ACI has been a trusted partner to broker-dealers for over 40 years, providing high-quality accounting, regulatory consulting and FinOp licensing. Our team includes over 20 licensed FinOps and CPAs. This deep bench of expertise ensures our clients receive accurate, reliable financial guidance tailored to their business needs.
The Financial and Operational Principal (FinOp) is a role required by FINRA Rule 1200 Series (previously by NASD Rule 1022). The FinOp obtains qualification by passing the Series 27 or Series 28 examination. Upon registration, the FinOp becomes personally liable for the maintenance of the broker-dealer’s books and records, the accuracy of the financial statements, compliance with applicable net capital rules and the timely submission of all financial regulatory reports.
Absolutely. While ACI is headquartered in Manhattan’s Financial District, we work seamlessly with broker-dealers across the U.S. Our secure electronic systems and remote access capabilities enable us to deliver the same high-quality services, regardless of your location.
Similar to year-end audits, FINRA examinations often rely on ACI’s access to financial information. Our team relieves much of the examination burden by preparing and providing the necessary documentation and insights, enabling your firm to remain focused on core business activities. This approach helps reduce the duration of the examination and mitigate the risk of regulatory findings or fines.
Our pricing is based primarily on each client’s transactional volume incurred monthly, rather than size or profitability. This approach ensures fees align with your operational needs while maintaining transparency and fairness.
Only authorized ACI employees and engaged auditors have access to your firm’s internal accounting information. We treat client data with the highest level of confidentiality. All files are password-protected and backed up nightly to ensure compliance with SEC and FINRA guidelines for business continuity and data security.
ACI’s employees are highly engaged within the broker-dealer industry. Our team regularly participates in industry conferences and serves on key committees, such as FINRA’s New York Regional Committee and the Small Firm Advisory Board. This involvement keeps us at the forefront of regulatory developments and enables us to provide clients with up-to-date, actionable insights.
ACI’s headquarters houses our clients’ financial books and records. Our accountants are well-versed in clients’ financial activities, enabling us to provide auditors with prompt, efficient support during audits. This collaborative approach helps streamline the audit process and ensures compliance with regulatory requirements.