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Broker-Dealers and Registered Investment Advisors
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:
- Outsourced accounting for Registered Investment Advisors
- 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 firstname.lastname@example.org .