How We Work

The function of a FINOP is to accurately maintain the firm's books and records, compile and transmit regulatory reports (FOCUS reports), and compute net capital computations on a timely basis to insure compliance with the SEC Net Capital Rule. An extensive and important responsibility for any firm that wishes to be fully compliant.

The process of adding Jacqueline L. Sloan, Inc. is simple and much easier than bringing a full time employee on board. Once a client has retained the services of Jacqueline L. Sloan, Inc., the client will add Ms. Sloan to the firm roster and Written Supervisory Procedures as the Series 27 FINOP. Then the client will include Ms. Sloan on their BD as their Series 27 representative.

Jacqueline L. Sloan, Inc. will then work with the client to assess the best and most accurate manner in which Ms. Sloan may monitor books and records insuring full industry compliance.

The Sloan firm's goal is to offer a level of confidence to every client while streamlining the process of retaining a qualified FINOP.