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.