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.

What sets Assurance Dimensions’ Broker Dealer audit service apart from the rest?

  • Fixed fee pricing to give you assurance on the value you are receiving for our services
  • Efficient and effective audits completed by working directly with you and communicating timely
  • Utilizing only experience personnel to make your broker dealer audit as smooth as possible

Broker Dealer Audit

Frequently Asked Questions

FAQ: Do I need a PCAOB registered auditor?

Answer: Section 17(e)(1)(A) of the Securities Exchange Act of 1934 (“Exchange Act”) requires that every registered broker-dealer annually file with the Commission a certified set of financial statements that have been certified by a registered public accounting form.

FAQ: How long does it take to complete an audit?

Answer: The audit timeframe will vary depending on the size if the entity, its internal accounting and bookkeeping functions, the complexity and nature of the specific transactions it engages in.

FAQ: Will the audit be completed to meet filing requirements and deadlines?

Answer: Assurance Dimensions works hand in hand with the client to ensure that the audits are completed and any deadlines and / or filing requirements are met. Our continued commitment to provide quality audits is derived from the client relationships that we have built. Our experienced professionals work with clients to obtain the necessary audit support in a timely manner to ensure the audit is completed in accordance with required PCAOB standards and simultaneously meeting the filing requirements.

FAQ: How can I be guaranteed of the audit quality?

Answer: All PCAOB registered CPA firms are required to undergo detailed peer review inspections every three years. These final issued inspection reports are publicly made available on the PCAOB website. In addition, Assurance Dimensions is committed to employing experienced and talented professionals that strive to ensure a quality audit is performed and a valuable service is offered to all our clients.

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(813) 443-5048

Tampa Bay

4920 W Cypress Street, Suite 102
Tampa, FL 33607


4720 Salisbury Road, Suite 223
Jacksonville, FL 32256

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2000 Banks Road, Suite 218
Margate, FL 33063


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