Financial & Operations Principal (FINOP) Services

B/D Solutions has a staff of experienced Financial and Operations Principals able to act as your firm’s FINOP on an interim or permanent basis. The FINOPs at B/D Solutions have industry experience with firms that conduct virtually every kind of retail securities business. No matter what kind of business your firm conducts, we can provide an experienced FINOP to fit your needs and resources.

Depending on your firm’s needs, B/D Solutions can assume any of the duties traditionally performed by the FINOP, from keeping the books and records of the firm to simply filing the FOCUS Report. Regardless of which duties are assumed, B/D Solutions takes all of the risk inherent in being the FINOP of your brokerage firm.

Contact us today for more information on our FINOP services.

Bookkeeping & Accounting Services

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Accounting System For Your Needs & Budget


B/D Solutions has Financial & Operations Principals (“FINOPs”) on staff who are experts in all aspects of brokerage accounting. We know the obscure rules and interpretations for most every situation.

Let B/D Solutions design and implement your brokerage accounting system. Take advantage of years of brokerage accounting experience to help develop your accounting system. The professionals at B/D Solutions have experience with many different accounting systems and can help your firm choose and install a system that fits all your needs as well as your budget.

Contact us today to help your firm choose a brokerage accounting system that is right for you.

General Ledger Structuring

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Facilitate Regulatory Reporting


Let B/D Solutions help your firm construct a chart of accounts that will not only help you analyze your financial statements, but also facilitate regulatory reporting. Many firms do not put much thought into the structure of their General Ledger until after it is in place. B/D Solutions can help your firm design your General Ledger for optimum functionality based on your firm’s unique needs and reporting requirements.

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Focus Reporting

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Monthly or Quarterly FOCUS Reports


B/D Solutions is equipped to handle the preparation and filing of your firm’s FOCUS Report on a monthly or quarterly basis, depending on regulatory requirements. Our experts can quickly and accurately compute your firm’s net capital and file all required FOCUS Reports on a timely basis.

We can also assist your firm with any aspect of the bookkeeping process, including implementation, support and maintenance. We have qualified personnel with experience in all areas of brokerage accounting who are ready to help your firm solve any problem related to the bookkeeping process. Come to us with your problem and we will engineer the solution.

Contact us today to learn more about our Brokerage Accounting Services.

Independent Audits

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Full Annual Audits


Every Broker/Dealer is required to engage an independent auditor to conduct a full annual audit of the brokerage firm. These auditors may not be connected to the daily and monthly accounting and bookkeeping activities of the firm.


Our Experience and Opinion

B/D Solutions recommends that you engage an independent auditor with experience specifically in brokerage and regulatory accounting. The time and energy spent training an auditor inexperienced in brokerage accounting is costly. It is a common mistake to hire an accounting firm with a big name but no experience.
Remember that every firm must have a Designation of Accountant form on file with FINRA no later than December 10.

B/D Solutions has worked closely with many broker dealer auditors and can advise you on the selection of your audit firm. In addition, we can recommend specific independent audit firms with direct experience in the type of business conducted by your firm. B/D Solutions receives compensation by the accounting firm for the referral of independent auditors.