Broker Dealer Audits

Experience our Core Expertise




When it comes to broker-dealer audits, it’s important to hire experts. We provide certified audit report services to over 100 securities brokers and dealers every year throughout California, Connecticut, Nevada, New York, Virginia and Washington. We are also a Registered firm with the Public Company Accounting Oversight Board (“PCAOB”).  Many of our clients engage us as auditors even if they stay with other CPA’s to perform other tasks.

We know the ins and outs of the SEC. As one of only a handful of CPA firms with a FINOP license, we speak their language…and yours. We’re unique in that we service one-man shops as well as complex clients with multi-state operations. We charge approximately half as much as the larger auditing firms, provide a faster turnaround time, and our ability to perform audits without interrupting the workplace has made us even more popular with our clients.

It may be time to re-evaluate your broker-dealer auditing services. 

If you need professional but reasonably priced audit services, then contact us. We prefer to begin the process as early as possible to insure the best results. Please try to contact us at least 60 days prior to your end-of-year date, or at the very least, 15 days out.