One of the key benefits we provide our broker/dealer clients is our in-depth experience with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) requirements. In addition to being a PCAOB-registered firm, that industry-specific experience enables us to provide a flexible approach to audit timing that allows for proactive planning for FINRA and SEC filing requirements.

Our team uses a focused audit approach and the latest in technology and staff training to ensure that we remain sensitive to budgetary concerns while providing phenomenal client service. Once the audit is complete, we stay with you to continue providing industry expertise in the form of ongoing consulting and client education opportunities.

Broker/Dealer Services

• Entity Selection & Corporate Restructuring
• Tax Planning & Consulting
• Net Capital Rules Compliance
• Tax Preparation & Compliance
• Due Diligence
• Focus Reporting
• Bookkeeping
• Mergers & Acquisitions
• Compliance and Financial Operations Consulting
• Federal and State income tax compliance
• Structuring of compensation and executive ownership planning
• State tax consulting services, including apportionment and nexus planning