Proactively addressing regulatory issues through proper advice and planning can mitigate many difficulties created by ongoing SEC and NASD regulations and oversight. We offer a wide range of services from advising and guiding new broker-dealers through the application process with FINRA, to the certified audit of your financial statements and assisting with ongoing compliance needs.

Our suite of Broker-Dealer services include:

  • Net capital and focus report compliance matters
  • Federal & multi-state tax compliance & planning
  • Attestation services: audits, reviews & compilations
  • International taxation
  • Business advisory
  • Mergers & acquisitions
  • Organizational structures
  • Information systems consulting
  • FIN 48 & FAS 109 assistance
  • Equity-based compensation
  • Compensation & benefit plan consulting
  • Succession planning
  • Litigation support & forensic accounting
  • Accounting services/bookkeeping