Broker Dealers

If you’re registered with FINRA, you likely already know you’re required by FINRA and the SEC to have certain services performed by an external party. As a PCAOB-registered firm with extensive experience with and knowledge of your business model, we are familiar with all of the filing requirements and can share our observations and best practices when appropriate. Our flexibility allows us to perform much of this work remotely, minimizing disruption and allowing you to stay focused on your day-to-day operations.

Solutions

  • External GAAP audits
  • Review services related to exemption reports
  • Providing agreed-upon procedures related to SIPC requirements

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