Oscar Mejia

Founder of Full Stride Consulting LLC, a firm dedicated to helping small and medium BDs and RIAs reach their full potential. FinOp / PFO: Even with a full accounting staff, an introducing broker-dealer can’t function without a Series 27 licensed PFO (aka FinOp) to submit regulatory financial reports, including FOCUS Part IIA, Custody, OBS, SIS, and SSOI. We can assume this function for you and create a process for your accounting staff to easily draft these reports going forward. We can even overhaul your entire accounting workflow and assist in preparing your annual audited financials. For RIA’s, we can also help with billing calculations and processing.Compliance / AML: Whether you operate as a BD, an RIA, or a hybrid of both, we have the knowledge and credentials to help you navigate SEC, FINRA and state regulations, draft / implement customized policies and procedures based on the nature of your firm (WSP, AML Manual, BCP Plan, etc.), administer training for your registered representatives, and design tools and exception reports beyond the standard set offered by your clearing firm. We’ll also submit any necessary filings to your SRO on your behalf.Business Intelligence: Some executives are satisfied with their workforce, but just feel like they are operating blindly and can’t fully grasp the makeup of their business. Maybe you don’t understand your sundry charges or the full life-cycle of a trade. Or maybe you want to map out your revenue and AUMs to drill down by country/region > branch office > broker/advisor > client. Whatever you need to help drive decision-making at your firm, we can help you design it.Startup Assistance: Perhaps you are just getting started and need help to get the business up and running quickly. We have the experience to help you with your to-do list, allowing you to focus on generating revenue and staying afloat. From payroll setup to software implementation to sourcing fund distribution agreements, Full Stride Consulting can be your startup partner.*Oscar is a forward-thinking, bilingual professional with 20+ years' experience in various work environments (including remote work) and a track record of proven leadership including years in C-level positions.