DFK Financial Services, Inc. was created to provide affordable FINOP services to small broker dealers who do not have the resources nor the need to hire a full time Financial and Operations Principal.

The Financial Industry Regulatory Authority (FINRA) issues two primary registrations that allow individuals to act as FINOP’s:

  • The Series 27 registration allows an individual to act as a “Limited Principal-Financial and Operations.”  Any firm with a required $100,000 minimum net capital requirement or greater must have a Series 27 FINOP.  

  • The Series 28 registration allows an individual to act as a “Limited Principal-Introducing Broker/Dealer Financial and Operations.”  Any firm required to have a $50,000 minimum net capital requirement or less may have either a Series 28 FINOP or a Series 27 FINOP.

Outsourcing your FINOP is a great way to keep costs down, obtain experienced and talented people, and have your financial information backed up offsite, while allowing you to concentrate on selling your product and building your business.


DFK Financial Services, Inc.