Thomas Hopkins

Senior Consultant

Thomas Hopkins has over twenty years of experience as FINOP in the financial services and securities industry. In his role as FINOP and Financial Consultant, he is responsible for providing and reviewing financial reporting and regulatory filings for broker-dealer clients. Prior to joining the firm, Mr. Hopkins was VP Regional Finance-Regulatory Reporting with Deutsche Bank Securities, Inc. and Cantor Fitzgerald and Co both in New York City, where he was responsible for implementing and testing new policy and procedures related to SEC regulations as well as financial management validation and control for the US broker-dealer including all regulatory reporting and financial statement reporting. He is experienced with developing procedures, controls and testing for SEA Rule 17a-5; net capital calculating and FOCUS reporting; SEC Form 17h, and presentation of financial to senior management. Mr. Hopkins is a former FINRA Coordinator as well as VP Finance. In his role with NCS Regulatory Compliance, Mr. Hopkins will keep current on regulatory developments to assist in making strategic recommendations for our clients. He holds a Bachelor of Science degree in Business Administration with Series 27 and 99 licenses.

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