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Broker-Dealers

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Quality. Integrity. Value.

How satisfied are you with your audit process? Are you worried about quality, timeliness, or independence? If you’re plagued by any of these concerns, it might be time for a change.

In this complex industry where technical expertise and regulatory scrutiny are on the rise, we know the critical importance of accurate audits and sound accounting advice. With more than 50 years of experience, we’re on the front lines of SEC/PCAOB developments. We’re committed to quality and will help you remain in compliance. Our team of specialists knows what’s important to you: timely filing, a smooth process, technical expertise, a positive relationship with the SEC, and industry specialization.

In a securities landscape that’s constantly changing, new requirements seem to constantly pop up. We’ll identify solutions, minimize your risks, and help you move on to meeting your next objective.

There’s no right way to do the wrong thing

Guided by efficiency and quality standards, our broker-dealer experts will deliver what you need — on time and adhering to all reporting requirements. We’ll help you handle the regulatory environment and keep you up to date on the latest industry accounting developments. Trust in us for accuracy, thoroughness, and peace of mind.

“We know our clients are incredibly busy,” says Steve Schick, broker-dealer audit partner. “This is why I’m proud that our team can come in and do what needs to be done, quickly, quietly, and correctly. If you’ve experienced bumps in the process before, then we can show you there’s a better way.”