Financial and Operations Principal (FinOp) Services

Monitoring and reviewing the following reports:

• General Ledger
• Balance Sheet
• Trial Balance
• Income Statement
• Reconciled Bank Statements
• Accounts Payable Reports
• Other reconcilements as deemed necessary
• Any other reports needed for preparation of computations

Maintaining ongoing dialogue with management team and outside accounting firm (to the extent necessary and appropriate)

Calculation of Fidelity Bond Coverage (annually)

Preparation and filing of monthly and/or quarterly FOCUS Reports with FINRA. (as required)

Preparation of annual financial statements with footnotes for audit

Assistance with annual audit

Periodic projections of net capital for senior management

Supervising additions to, and withdrawals from, the equity capital of company

Reporting borrowings and repayment of subordinated loans for capital purposes

Should the company become deficient in its net capital position, making the necessary reports to regulators and communicating any restrictions in business that may result

Conducting regular in person or telephonic meetings (no less than monthly) with accounting and finance personnel

Performing onsite visits on a periodic basis