Our staff has substantial experience with respect to the financial and operations aspects of our clients. Daniel LeGaye, has been registered with FINRA as a qualified Series 28 Financial and Operations Principal (FINOP) in excess of 28 years and Michael Schaps has been registered with FINRA as a qualified Series 27 Financial Operations Principal in excess of 30 years. To this end, Mr. LeGaye and Mr. Schaps provide advice to our clients, and they function as FINOP for a number of broker-dealers.
Additionally, Peggy Walton and Mary English bring their extensive experience in regulatory accounting to our financial services platform. As such, they are integrally involved in the preparation of client financial records, and generation of monthly, quarterly and annual regulatory financial filings as required by FINRA, the SEC, and other applicable regulatory authorities.
Finally, base on the deep knowledge our staff, we also provide general consulting on financial issues facing a member firm of FINRA, and we provide on-site reviews of financial records to assess their compliance with the financial reporting, maintenance and recordkeeping obligations.