Broker Dealer Audit Examinations

Assurance Dimensions

Broker Dealer Audit Examinations

The SEC requires that companies seek broker dealer audit services to enhance investor protection. The auditing firm must be registered with the Public Company Accounting Oversight Board (PCAOB) and our firm is registered with the PCAOB. As one of the few registered audit firms, in this niche market, we offer our clients in need of broker dealer audit services, our securities industry-specific knowledge and experience. We have had hands-on experience auditing different types of broker dealer financial statements. Our team of specialized CPAs provides individualized broker dealer audit services an efficient and cost-effective way.