Audits of Broker Dealers

When it comes to broker dealer audits, it’s important to hire a firm with experience. For over 16 years, we have been providing audit services to broker dealers.

Our firm provides audit services to over 35 securities brokers located throughout the United States. We are registered 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 also provide agreed upon procedures for broker dealers who are SIPC members and are required to submit a SIPC 7 report annually. We provide surprise custody exams (compliance attestation) for broker dealers and registered investment advisors who require this type of engagement and report for their annual SEC reporting.  

Our firm services small as well as large complex clients with multi-state operations. The fees are competitive. We pride ourselves in fast turnaround time and our ability to perform audits remotely using a secured portal for document exchange.  

To ensure quality, we use the latest industry leading audit practice aids to serve our clients. Our top-down and risk-based audit approach means your engagement gets done efficiently and effectively. The quality of the firm’s audit work has been recently validated by our positive PCAOB inspection and peer review results. You will have direct access to decision makers including the managing partner.

If you need professional and efficient audit services, then please contact us.
You may also complete our Questionnaire 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 60-75 days prior to your end-of-year date, or at the very least, 30 days out.

We are licensed in the following states*:

  • Alabama
  • Arizona
  • California
  • Colorado
  • Delaware
  • Florida
  • Georgia
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maryland
  • Missouri
  • Montana
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Ohio
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • Tennessee
  • Utah
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin

*Should you need services in a state not listed, please contact us for more information.

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