FINANCIAL & OPERATIONS PRINCIPAL (FINOP) SERVICES
Outsourced Solution For Finra Broker Dealer Firms !
Allow me to leverage my 25+ years of FINRA experience and FinOp financial expertise to create, maintain and file your financial regulatory requirements, freeing you up to focus on what you do best.
With over a decade of experience as a FINOP across diverse sectors in the industry, I bring a wealth of compliance and operational expertise, having also served as CCO and CFO for multiple firms during this time. What truly sets me apart is my extensive knowledge and hands-on involvement in broker-dealer (BD) revenue-generating activities and entrepreneurial opportunities, coupled with a strong commitment to delivering exceptional client service.
By design, I will only work with a select number of firms, ensuring my full attention and the highest level of service for each client.
MY BIO
Andrew Kurian
Andrew has extensive experience in the financial industry, spanning over 25 years as a FINRA-registered representative. His career began in the Officers’ Training Program at the Bank of New York, where he gained valuable insight into the workings of the financial sector. From trading stocks on the NYSE floor and later the German Börse, Andrew has built a robust understanding of the financial workings of domestic and international markets.
He later established an international equity arbitrage firm, demonstrating his entrepreneurial skills and deep knowledge of complex financial strategies. Currently, Andrew is the Chief Compliance Officer (CCO) and Financial and Operations Principal (FINOP) for two FINRA Broker Dealers, where he oversees financial responsibilities, including FINRA FOCUS filings, bill payments, and tax preparation. Additionally, he serves as CFO for a family office and provides compliance consulting to three Registered Investment Advisors (RIAs) and an International Bank located in the Bahamas.
Andrew’s regulatory expertise is further highlighted by his role as a former member of the North Region Committee for FINRA and his recent appointment to the FINRA Small Firm Advisory Committee (SFAC), directly advising the board of directors.
As a certified arbitrator, Andrew contributes to the industry by serving on panels for the Office of Hearing Officials.
Outside of work, Andrew resides in Weston, CT, with his wife of over 20 years, their two college-aged sons, and their loyal Labrador Retrievers, never far from his feet.
Education:
Advanced degrees in Accounting from Fairfield University
Masters in Business Administration from NYU-Stern School of business
Bachelor of Arts with a Business major from Franklin and Marshall College
Licenses:
Certified Registered Compliance Professional (CRCP) from Georgetown University
FINRA series 7, 9, 14, 24, 27, 55, 57, 63, 65, 79, 99 and SIE
References:
Upon request. Expansive group made up of professionals in the financial industry.
25+
YEARS OF EXPERIENCE
FINOP SERVICES
Ensuring FINRA Compliance with Tailored Financial Services
Maintaining FINRA-compliant books and records is vital to achieving regulatory compliance allowing for peace of mind. It’s easy to feel secure when everything seems in order, but just as easy to fall short of FINRA’s strict requirements.
We offer a range of services designed to fit your specific needs. Whether you’re looking for basic filings or comprehensive financial management, I provide a full “soup-to-nuts” suite of solutions.
As your firm’s Series 27 FINOP, I will directly interface with FINRA regulatory personnel, as well as your PCAOB accountant and auditor.
Services Offered:
- FOCUS Filings: I can leverage your existing records to prepare and submit FOCUS reports.
- Bill Payment: Let me handle your firm’s financial obligations.
- Monthly Financial Packets: Preparation of detailed monthly reports.
- Quarterly Reporting: Filing FOCUS reports, SSOI, and Form Custody.
- Annual Audit Support: Collaborating with your PCAOB firm to prepare for yearly audits.
From start to finish, I take care of the heavy lifting, ensuring seamless financial regulatory compliance. You will be provided with comprehensive financial reports. All you need to do is sign off monthly, quarterly, and annually. I’ll customize my services to meet your firm’s needs, providing peace of mind and confidence in your financial operations.