ROP- Series 4

Never heard of outsourcing a 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.

Many small- to mid-size firms have a senior officer puling 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!

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. Contact us today to find out how to get started.

Ready to see what we can do for you?

Speak with one of our Principals and discuss how we can help your business.

We couldn’t believe it. We used another consulting firm for our CMA at first and things were going so wrong. We thought the deal was dead in the water. CXG stepped in and took the reigns: 9 lines of business and 20 reps! This team sure knows what they’re doing.

Long Island Broker-Dealer
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