Broker-Dealer Audit Services

Broker-Dealers operate in a highly regulated environment therefore audits are critical to investing companies and individuals as well as the Broker-Dealer themselves to ensure that the company is operating efficiently in order to generate the highest yield for investments. Our skilled professionals are trained to maintain independence while providing cost-effective services related to audit procedures, regulatory requirements, and financial statement presentation.

We also provide accounting and tax services to our broker-dealer clients. Whether this means meeting annual reporting requirements, interpreting net capital rules, or providing accounting and tax guidance, we have the ability to provide services which meet our clients' needs and exceed their expectations.

Our other Broker-Dealer services include:

• Tax Planning & Consulting
• Net Capital Rules Compliance
• Tax Preparation & Compliance
• Due Diligence
• Focus Reports
• Bookkeeping

As a PCAOB registered firm, we have the skills and commitment necessary to provide a quality audit at an affordable price. For a comprehensive consultation, please call (832)242-9950 or send an online message.