DFK Financial Services, Inc. is retained by small broker dealers to:
  • register as the firm’s Financial and Operations Principal (FINOP);
  • facilitate financial filings with FINRA and SEC to enable the company to become & remain a licensed broker dealer;
  • prepare regular monthly, quarterly and annual financial filings required by the Company for its broker-dealer operations with FINRA, SEC and any other applicable regulatory authorities for the Company.
DFK Financial Services, Inc.