Broker Dealers

In the current landscape of increased regulation, our extensive experience with Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) rules and regulations allows us to provide expertise to our clients. Our PCAOB registration enables us to serve as the auditors of numerous broker/dealers.

These broker dealers range from single member firms to entities which maintain multiple locations and overseas reach. We also perform the independent audit function of a firm's Anti-Money Laundering (AML) program in order to be compliant with the Patriot Act.