Company Information

Get to know Dorfman FinOp Services, LLC

Dorfman FinOp Services, LLC is a specialized consulting firm that offers outsourced Financial and Operations Principal (FinOp), Chief Financial Officer (CFO), and comprehensive accounting services tailored specifically for broker-dealers and registered investment advisers. The company assists financial firms in meeting their complex regulatory and financial reporting obligations to bodies like FINRA and the SEC. Founded by industry veteran Steven Dorfman, the firm aims to provide expert, cost-effective solutions, allowing clients to maintain financial compliance without the overhead of a full-time in-house executive.

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Financial Legal ServicePRIMARY
Financial Other Service

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Dorfman FinOp Services, LLC

United States

Founded in

2009 (17 Years)

Founded

Last online: No recent activity

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Markets.com

(326 reviews)

United States

2008

(18 years)

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License

A Grade License

Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.

B Grade License

Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.

C Grade License

Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.

D Grade License

From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.

TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.