• Our mission is to provide the best audit, tax & consulting services to the various industries we serve.

    Contact Us

    Our promise is to provide solutions that exceed the fees that we charge. We sincerely appreciate you taking the time to visit our website. If you have any questions about our firm and the services we offer, please let us know how we could help. We will do everything possible to exceed your expectations.
    Thank you and we look forward to speaking with you!

Broker-Dealers and Registered Investment Advisors

DSWD Experience

In this ever changing regulatory environment for Broker-Dealers and Registered Investment Advisors, you need a firm who will be by your side helping you to successfully navigate through the change.

Our team of highly experienced and specially qualified individuals services the needs of approximately 85 Broker-Dealers and Registered Investment Advisors nationwide and internationally.

Our firm is licensed in the majority of states throughout the U.S. to perform audit services and has been inspected by the Public Company Accounting Oversight Board (PCAOB).

This hands-on experience and depth of knowledge will help with the issues that Broker-Dealers and Registered Investment Advisors are facing today and tomorrow as well.

Services to the Industry

Our services are tailored to address the risks and needs of your company. We use an integrated approach with our various teams and company management to provide solutions that fit your company at a reasonable rate that often goes unmatched.

Our services include:

  • Annual financial audits for Broker-Dealers
  • Tax return compliance
  • Surprise examinations for Registered Investment Advisors
  • SEC/FINRA regulatory analysis and support
  • Tax planning and consulting
  • Design and implementation of internal controls
  • Anti-money laundering (AML) audits
  • ….and more

Feel Free to Inquire

As a PCAOB registered firm, we meet the SEC, FINRA, CFTC and NFA requirements to serve as your external auditor.

To learn more about our Broker-Dealer and Registered Investment Advisor practice and the value proposition we can offer you, contact Joe DeMarco at (708) 629-7985 or jd@dscpagroup.com .