Luis A. Pimentel, CPA & FINOP

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FINOP Services for Broker-Dealers

Regulatory Compliance, Net Capital Oversight, and Regulatory Reporting—Delivered by an Experienced CPA & Series 27 FINOP

Stay compliant, audit-ready, and focused on growing your firm. I provide senior-level FINOP and financial operations support tailored specifically to broker-dealers—without the cost of a full-time executive.
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CPA | Series 27 FINOP
20+ Years Experience in Financial Services
Former CFO & Controller

FINOP Services for Broker-Dealers

With over 20 years in financial services—including 10 years as CFO—I specialize in helping broker-dealers meet complex regulatory requirements with confidence.

From daily net capital monitoring to monthly FOCUS filings, I ensure your financial and regulatory obligations are handled accurately and on time.
Proven track record with audits and regulators
Scalable support for growing firms
Independent, conflict-free advisory

FINOP & Broker-Dealer Services

Regulatory Compliance
  • Net capital calculations and daily/weekly monitoring
  • SEC Rule 15c3-1 compliance
  • FOCUS report preparation and filing (monthly/quarterly/annual)
  • Regulatory reporting and filings
Financial Operations
  • Full-cycle accounting oversight
  • Month-end close and financial statements preparation
  • General ledger reconciliation and substantiation
  • Expense monitoring and analysis
Audit & Control Support
  • Audit preparation and liaison with auditors
  • Internal control design and implementation
  • AML support (including acting as alternate AML officer)
  • Compliance readiness assessments

Why Broker-Dealers Should Choose My FINOP Services

Senior-Level Expertise

Former CFO and Controller with hands-on FINOP experience across multiple broker-dealers.

Cost-Effective Solution

Avoid the overhead of a full-time FINOP while maintaining full compliance.

Accuracy & Timeliness

Consistent delivery of precise filings and reporting under tight regulatory deadlines.

Growth-Oriented Support

Free up management to focus on revenue and strategy—not regulatory burdens.

Relevant Broker-Dealer Experience

FINOP & Controller

Edgemont Capital Partners (NY)

FINOP & Controller

tZERO Group, Inc. (NY)

Chief Financial Officer & FINOP

ARCA Capital Investments (FL)

Chief Financial Officer & FINOP

United Capital Markets (FL)

Prior roles at J.P. Morgan Chase, Merrill Lynch and Kaufman Rossin & Co.

Key Responsibilities Across Roles

Growth-Oriented Support
FOCUS reporting and regulatory filings
Financial statement preparation
Audit coordination and regulatory compliance
Full-cycle accounting oversight

Credentials & Licenses

Certified Public Accountant (CPA)
FINRA LICENSES CURRENTLY ACTIVE
  • Series 27 – Financial & Operations Principal
  • Series 99 – Operations Professional
FINRA LICENSES CURRENTLY INACTIVE; OPEN TO REACTIVATION
  • Series 3   National Commodities Futures Representative
  • Series 4   Registered Options and Futures Securities Principal
  • Series 7   General Securities Representative
  • Series 24 General Securities Principal
  • Series 53 Municipal Securities Principal
  • Series 63 Uniform Securities Agent / State Laws
  • Series 79 Limited Representative - Investment Banking
Executive MS in Taxation – Florida International University
BS in Accounting – Lehman College

Systems & Tools

Experience with

Excel (advanced reporting)

QuickBooks

NetSuite

Concur

Pivot Payables

Who I Support

Broker-dealers (startup to established)

Firms needing outsourced FINOP services

Organizations preparing for audit or regulatory review

Firms requiring interim CFO/Controller support

Get Reliable FINOP Support

Ensure compliance, reduce risk, and gain peace of mind with experienced FINOP leadership.

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