Comprehensive financial statement audit, review and compilation for your organization.
SEC enforcement actions shut down broker-dealers every year for audit failures. Net capital violations, customer fund segregation errors, and PCAOB non-compliance aren't just regulatory issues - they're business termination events.
Secure your authorization to operate with specialized audit services designed for the securities industry.
Every successful broker-dealer audit rests on three fundamental requirements that determine your continued SEC registration. First, you must demonstrate mastery of complex securities regulations that govern every aspect of your operations. Second, you must prove absolute customer asset protection through flawless segregation and control procedures. Third, you must achieve audit quality that exceeds PCAOB standards and withstands regulatory examination.
These three pillars work together to create the regulatory foundation that sustains your business.
Navigate the complex intersection of PCAOB audit standards, SEC customer protection requirements, and FINRA compliance obligations. Our deep understanding of securities regulation ensures your audit addresses every critical compliance area that determines your continued authorization.
Demonstrate uncompromising customer fund segregation and securities control through systematic Rule 15c3-3 compliance testing. Our rigorous approach to customer protection auditing validates your safeguarding procedures and reinforces regulatory confidence in your operations.
Achieve audit excellence through engagement quality review processes and independent partner oversight that exceeds SEC expectations. Our commitment to PCAOB standards delivers audit quality that withstands regulatory examination and supports your business continuity.
Satisfy SEC registration requirements with audits that address the unique financial reporting challenges of broker-dealer operations. Our systematic approach integrates financial statement accuracy with regulatory compliance verification, creating audit results that support both financial transparency and regulatory authorization.
Net Capital Verification
Independent validation of Rule 15c3-1 calculations including haircut applications, concentration charges, and minimum capital requirements.
Revenue Recognition Analysis
Comprehensive testing of commission income, trading revenue, and advisory fee recognition across diverse income streams.
Client Account Auditing
Detailed verification of customer securities positions, margin balances, and account segregation procedures.
Protect customer assets and preserve your SEC registration through specialized Rule 15c3-3 compliance testing. Our comprehensive approach to customer protection auditing validates segregation procedures, reserve calculations, and control requirements that form the foundation of securities regulation.
Reserve Formula Computation
Daily testing of customer reserve calculations and segregated deposit verification with qualifying institutions.
Securities Location and Control
Systematic verification of customer securities possession or control including good control location arrangements.
Customer Debit Balance Management
Independent analysis of margin lending practices, collateral valuation, and customer account maintenance.
Segregation Account Monitoring
Direct confirmation procedures with banks, clearing organizations, and custodial institutions.
Customer Account Transfer Procedures
Verification of ACAT transfer processes, free credit balance handling, and customer notification requirements.
Strengthen your regulatory foundation through comprehensive operational risk evaluation and internal control testing.
Our expanded audit procedures identify compliance vulnerabilities and operational weaknesses that could compromise your SEC registration or trigger enforcement action.
Books and Records Compliance
Systematic testing of SEC record-keeping requirements and document retention procedures.
Anti-Money Laundering Controls
Independent evaluation of BSA compliance procedures and suspicious activity monitoring systems.
Cybersecurity Risk Assessment
Review of customer data protection measures and information security controls required by SEC regulation.
Business Continuity Planning
Analysis of operational resilience and disaster recovery procedures that support continued customer service.
Regulatory Reporting Controls
Independent testing of FINRA, SEC, and SIPC reporting accuracy, completeness, and submission timing requirements.
Securities regulation creates audit complexity that destroys unprepared firms. The intersection of PCAOB standards, customer protection requirements, and net capital calculations demands specialized expertise that most audit firms cannot provide.
Our proven track record in broker-dealer auditing transforms regulatory uncertainty into compliance confidence, operational risk into competitive advantage, and SEC examination anxiety into regulatory credibility.
Benefit from concentrated expertise in broker-dealer regulation, investment adviser compliance, and securities industry operations.
Rely on audit documentation and compliance evidence that consistently withstands SEC examination scrutiny.
Access superior audit quality through mandatory engagement quality review procedures and independent partner oversight.
Convert SEC compliance uncertainty into business confidence through systematic audit procedures that protect your authorization and strengthen your market position:
1. Comprehensive Regulatory Analysis: Complete assessment of SEC registration requirements, FINRA obligations, and industry-specific compliance challenges
2. Strategic Audit Planning: Customized PCAOB audit approach with engagement quality review integration and regulatory examination preparation
3. Systematic Compliance Verification: Rigorous testing of customer protection procedures, net capital calculations, and operational risk controls
4. Regulatory Credibility Enhancement: Complete audit deliverables that demonstrate compliance excellence and support business expansion
Our dedicated team is ready to assist you on your path to financial success.
211 E 43rd St Suite 7-100
New York, NY 10017
United States
401 NW 31ST AVE
MIAMI FL 33125-4228
United States
211 E 43rd St Suite 7-100
New York, NY 10017
United States