Broker-Dealer Audit Services

Broker-Dealers operate in a highly regulated environment. Therefore, audits are critical to investing companies, individuals, and the Broker-Dealer themselves to ensure that the company is operating efficiently and generating the highest yield for investments. Our skilled professionals are trained to maintain independence while providing cost-effective broker-dealer audit 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. We are also a registered firm with the Public Company Accounting Oversight Board (PCAOB), one of the many reasons we are able to offer high-quality service and knowledge to our clients.

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.

Contact one of our expert CPAs today
or call 832-242-9950 to inquire about our services
or request a FREE consultation

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