Broker Dealer Auditors

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

We know the ins and outs of the SEC and the securities industry. 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 please complete our 20 Questions for an Audit Quote below. We prefer to begin the process as early as possible to insure the best results. Please try to complete the form at least 60 days prior to your end-of-year date, or at the very least, 15 days out.