About Finop Solution:

  • My name is Diane Goodin. I have been a licensed Series 27 FINOP since 1998 and have successfully served as registered FINOP to numerous Broker-Dealer clients across the United States since that time.
  • During my tenure as a FINOP, I have maintained a clean compliance record with FINRA and have never experienced a client complaint.
  • I offer excellent Broker-Dealer references. Upon request, I will provide a copy of my Standard Consulting Agreement that gives specific details of my business procedures and may assist in your evaluation and selection of a FINOP.
  • My experience in the securities industry leads me to the conclusion that strong accounting knowledge and procedures are the backbone of a strong compliance record. Without accurate and timely accounting, regulatory compliance will suffer. As a CPA, I offer your firm added value, above and beyond the typical FINOP, because I understand and can effectively apply Generally Accepted Accounting Principals to ensure your firms regulatory compliance.