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Edward Gregory and Associates, LLC
Lower Manhattan skyline and One World Trade Center at dusk, seen across the Hudson River

Based in the New York City Tri-State Area

FINOP and Series 27 Consulting for New York Broker-Dealers

New York is the center of the US broker-dealer industry, and it is where our partners are based. We give New York firms a licensed Financial and Operations Principal, accurate regulatory reporting, and compliance support from people who can be in your office when it matters.

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FINRA Firms Headquartered
914
FINRA Branch Offices
9,448

  • 25+

    Years in Financial Services

  • 50+

    Years of Combined Team Experience

  • 5

    Securities Licenses: Series 7, 24, 27, 65, and 99

  • CPA

    Led by a Certified Public Accountant and MBA

The New York Landscape

Where the Industry Concentrates

No state comes close to New York for broker-dealer activity. At the end of 2025, 914 FINRA-registered firms were headquartered in the state, more than three times the total of any other state. That concentration brings deep talent and close regulatory attention in equal measure.

New York firms answer to three sets of regulators. FINRA examines member firms from its offices in New York City and Jericho, the SEC's New York Regional Office covers New York and New Jersey, and the Investor Protection Bureau of the New York State Attorney General requires brokers, dealers, securities salespersons, and investment advisers to register with the state, and enforces the Martin Act against investment fraud.

For a small or new firm, keeping net capital, FOCUS reporting, and state filings in order is a discipline of its own. We bring that discipline to your firm without the cost of a full-time hire, and because we are based in the Tri-State Area, we can sit down with you in person whenever it helps.

Sources, Reviewed October 2026

Who You Answer To

Every New York broker-dealer works under three layers of oversight.

What We Do

Outsourced Support for New York Firms

Whether you run an established New York firm or are preparing a new membership application, we cover the financial, operational, and compliance work that keeps a broker-dealer in good standing.

Getting Started

How We Work With New York Firms

A clear path from the first call to ongoing support, built around how your firm already operates.

  1. 01

    Free Consultation

    A no-cost introductory call to learn how your firm is structured, where it stands with FINRA, and the support you need.

  2. 02

    Meet In Person

    Our partners are based in the Tri-State Area, so meeting at your office is easy, at the start and whenever it helps.

  3. 03

    Licensed With Your Firm

    After an initial interview and due diligence review, a member of our team can be licensed with your broker-dealer in a few days.

  4. 04

    Ongoing Support

    Net capital computations, FOCUS reports, annual audits, and regulatory filings, handled on schedule by a FINOP who knows your firm.

What Clients Say

“FINOPCONSULTANTS.COM were knowledgeable about FINRA accounting and practices, and made a complicated process feel straightforward.”
Ted L. from USA

FAQ

Questions From New York Firms

Straight answers to what New York broker-dealers ask us most. If your question is not here, we are happy to help directly.

Ask Us a Question
Do you meet New York clients in person?
Yes. Our partners are based in the New York City Tri-State Area, so in-person meetings at your office are easy to arrange, both at the start of an engagement and whenever an issue is better handled face to face.
Who regulates broker-dealers in New York?
New York broker-dealers are overseen by FINRA, the SEC, and the State of New York. FINRA has offices in New York City and Jericho, the SEC's New York Regional Office covers New York and New Jersey, and the Investor Protection Bureau of the New York State Attorney General handles state registration and enforces the Martin Act. We help you keep the filings and records each of them expects in order.
How quickly can you act as FINOP for our New York firm?
After an initial interview with your principals and a due diligence review, a member of our team can be licensed with your broker-dealer in a few days.
Do you work with registered investment advisors in New York?
Yes. We support RIAs with registrations and ADV filings, compliance program design, trade review, and mock audits. Mid-sized New York advisers often register with the SEC rather than the state, and we can help you work through which route applies to your firm.
Can you help a new broker-dealer through FINRA membership?
Yes. For new and pending broker-dealers, we design the accounting system, attend pre-membership interviews, answer FINRA's financial questions, and prepare the reports a new member needs.

Nationwide Coverage

We Also Serve

Our partners are based in the New York City Tri-State Area, and we work with broker-dealers across the country.

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Edward Samson, CPA, MBA, Principal at FINOP Consultants

Free Consultation

Talk to Ed About Your New York Firm

Edward Samson is a CPA and MBA with more than 25 years in financial services and Series 7, 24, 27, 65, and 99 licenses. Book a free introductory call and leave with a clear view of the support your firm needs.

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