Broker Dealers

Broker-dealerThe Broker-Dealer industry is highly specialized. Our experienced professionals provide the highest level of quality service to broker-dealers. We understand the challenges facing our clients who rely on us for the following:

  • Audit year-end financial statements and net capital requirements
  • Audit internal controls
  • Assist on compliance with regulatory organizations
  • Recommend tax structures
  • Prepare or review business tax returns
  • Prepare principals’ individual tax returns (when permitted under regulations); and
  • Advise on economic and tax issues regarding investor allocations and distributions

Whether you are a start up, a boutique, a single-office entity or a larger firm with multiple lines of business, our team can help satisfy your business needs, find solutions to your business problems and work together with your team to help you reach your next level of success.