Broker-Dealers

Many times, broker-dealers are associated with entities that operate and manage investment companies. Broker-dealers are subject to regulation under the Securities Exchange Act of 1934, and those who are members of the Financial Industry Regulatory Authority (FINRA) are also subject to those rules and regulations. As a result, our experience working with broker-dealers provides us the knowledge to assist you with issues and questions that arise regarding broker-dealer regulatory filings and other issues within the parameters set by the Securities and Exchange Commission.

We are continually expanding and refining our services to meet our clients’ changing needs in the financial services and other industries we serve. Services provided to these industries include:

• Audit
• Review
• Compilation
• Risk Advisory
• Compliance
• Property Tax
• Tax Compliance and Planning
• Consulting