FINOP & CFO Solutions, LLC

We are the answer to your regulatory and financial reporting needs.

FINOP services

We provide

FINOP, CFO and Accounting services, leveraging our expertise and experience to provide solutions customized for you. Solutions may be as streamlined as managing your FINOP responsibilities, or as broad as leading your CFO and Accounting functions. FINOP & CFO Solutions provides onsite and remote services with licensed, seasoned finance personnel. We have 30 years of experience, hold Certified Public Accountant and Certified Management Accountant designations, and hold Series 7, 24 and 27 licenses.

FINOP (Series 27 Financial Operations Principal)

The Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) require broker/dealers to comply with rules governing the preparation and retention of financial books and records.

The responsibilities of a FINOP include the preparation and preservation of financial records, maintenance of adequate Net Capital, compliance with investor protections and other regulations

What our colleagues say

“Gary Cuccia is a securities industry veteran that brings insight and expertise across several disciplines that are critical to the efficient running of a broker dealer. Having worked in both the financial institution and independent channels, Gary is quick to adapt customized solutions and lend strategic guidance to program execs.”

Dan Overbey | Managing Director, Atlantic Capital Advisors

“Gary’s experience as a CFO and FINOP ranges across a broad spectrum of broker/dealer and investment advisor distribution systems from the wire house to the retail wealth management firm. That insight is rare and, combined with his professionalism and workmanship, make him truly a rare and valuable resource in our industry.”

Michael Brodeur | Vice President, Business Development, Broadridge Advisor Compensation Solutions


FINOP & CFO Solutions, LLC

732 713 9607