Serving Dallas, Houston, Austin, and All of Texas
FINOP and Series 27 Consulting for Texas Broker-Dealers
Texas is fast becoming a national center for financial services, with two stock exchanges now headquartered in Dallas. We give Texas broker-dealers a licensed Financial and Operations Principal, accurate regulatory reporting, and compliance support built to keep pace.
- FINRA Firms Headquartered
- 191
- FINRA Branch Offices
- 10,354
- FINRA Firms Headquartered
- 191
- 5th in the US
- FINRA Branch Offices
- 10,354
- 3rd in the US
Source: FINRA 2026 Industry Snapshot, year-end 2025 counts. Reviewed October 2026.
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 Texas Landscape
A Market Gaining Momentum
Financial services in Texas have entered a new phase. NYSE Texas launched in March 2025 and opened its Dallas headquarters in August 2026, and the Texas Stock Exchange, headquartered in Dallas and approved by the SEC in September 2025, began live trading in July 2026. The state already counts 10,354 FINRA branch offices, the third most in the country, and 191 FINRA-registered firms headquartered within its borders.
Texas firms answer to FINRA, whose Texas office is in Plano; the SEC's Fort Worth Regional Office; and the Texas State Securities Board, which administers the Texas Securities Act and registers dealers and investment advisers doing business in the state.
Growth brings scrutiny. We keep the fundamentals in order, from net capital and FOCUS reports to the annual audit, so your team can focus on the opportunity in front of it.
Sources, Reviewed October 2026
- FINRA 2026 Industry Snapshot (year-end 2025 data) (opens in a new tab)
- FINRA office locations (opens in a new tab)
- SEC regional office jurisdictions, 17 CFR 200.11 (opens in a new tab)
- Texas State Securities Board: agency overview (opens in a new tab)
- Venable: Texas Stock Exchange opens for trading (July 2026) (opens in a new tab)
- Intercontinental Exchange: NYSE Texas opens for business (March 2025) (opens in a new tab)
- Intercontinental Exchange: NYSE Texas opens Dallas headquarters (August 2026) (opens in a new tab)
Who You Answer To
Every Texas broker-dealer works under three layers of oversight.
Self-Regulatory Organization
FINRA
Its Texas office is located in Plano.
Official Sourcefor FINRA (opens in a new tab)Federal Regulator
SEC Fort Worth Regional Office
Covers Texas, Oklahoma, and Arkansas, and Kansas for certain purposes.
Official Sourcefor SEC Fort Worth Regional Office (opens in a new tab)State Regulator
Texas State Securities Board
Administers the Texas Securities Act and registers dealers, agents, and investment advisers.
Official Sourcefor Texas State Securities Board (opens in a new tab)
What We Do
Outsourced Support for Texas Firms
Whether you are launching a firm in Dallas or growing a practice in Houston or Austin, we take on the financial, operational, and compliance work that keeps your broker-dealer ready for what comes next.
FINOP and Series 27 Consulting
A licensed Financial and Operations Principal for your firm, with net capital computations, FOCUS reports, Schedule I, and FINRA and SIPC filings prepared on schedule.
Learn MoreCompliance Services
Registration, CRD administration, compliance examinations, continuing education, and written supervisory procedures built to stand up to review.
Learn MoreAML Independent Testing
Independent testing of your anti-money laundering program under FINRA Rule 3310, with clear findings and practical recommendations.
Learn MorePre-Membership Support
For new and pending broker-dealers: accounting system design, pre-membership interviews, and FINRA's financial questions handled for you.
Learn MoreRegistered Investment Advisor Services
Registrations and ADV filings, compliance program design, trade review, and mock audits for registered investment advisors.
Learn MoreAccounting and Bookkeeping
Accurate, organized books with remote access, so you always know exactly where your firm stands financially.
Learn More
Getting Started
How We Work With Texas Firms
A clear path from the first call to ongoing support, built around how your firm already operates.
- 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.
- 02
Initial On-Site Meeting
We start at your Texas office, reviewing your books, records, and procedures firsthand. From there, we work remotely or assign a contractor to your office.
- 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.
- 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.”
FAQ
Questions From Texas Firms
Straight answers to what Texas broker-dealers ask us most. If your question is not here, we are happy to help directly.
Do you work with broker-dealers across Texas?
Who regulates broker-dealers in Texas?
What does Texas require for branch offices?
How quickly can you act as FINOP for our Texas firm?
We are launching a new broker-dealer in Texas. Can you help?
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.
Free Consultation
Talk to Ed About Your Texas 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.