ROP- Series 4

Outsourced Registered Options Principal | Compliance Exchange Group

Outsourced Registered Options Principal

Never heard of outsourced Registered Options Principal (Series 4 – ROP)? That’s because CXG is one of the only Broker Dealer resources to offer specialized license support to firms that need cost-effective compliance help.

ROP – Series 4

Many small to mid-size firms have a senior officer pulling double duty, juggling their primary duties while also performing the FINRA-required functions of a Registered Options Principal. Some firms need a branch office ROP, or are seeking to add “Options Trading” to their business line. Either way, we have you covered!

Registered Options Principal Services

Free up your senior in-house resources to do what they do best: Explore revenue opportunities and grow your firm. You’ll be able to refocus your operations on your core goals and seize new business opportunities, while simultaneously meeting your compliance requirements with a seasoned hand on deck.

Need someone to clear options? We have experienced, talented Series 4 ROPs who can do it for you. Outsource a Registered Options Principal and reap the benefits, at a fraction of what it would cost to staff the position in-house.

Book an appointment with one of our highly trained professionals to discuss your principal outsourcing and compliance requirements.

Or call us at 631-595-5305.

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