Broker Dealer Audit Examinations

Assurance Dimensions

Broker Dealer Audit Examinations

Broker-Dealers operate in a highly regulated environment. Our securities industry knowledge and experience means your broker-dealer audit exam will be efficient and effective.

Assurance Dimensions is one of a select few Public Company Accounting Oversight Board (PCAOB) registered audit firms in the specialized broker-dealer market. 

We pride ourselves on fast turnaround time and our ability to perform audits remotely through our secure cloud and web-based software and technology.

What Makes Us Different

To ensure quality, we use the latest audit practice tools and our industry experts thoroughly complete each audit.  

We believe responsive communications with our clients is essential to ensure each engagement is timely and accurate. This is why, with our fixed-fee pricing, you have direct access to experienced auditors for questions.

Assurance Dimensions is a registered PCAOB accounting firm. Our registration with the PCAOB enables us to perform broker-dealer audit examinations and holds us accountable to PCAOB standards for review. 

Unparalleled Service For Companies

  • Fixed Fee Pricing – No hidden costs or fees. Be confident in the value of our services. Contact us at any time with confidence. 
  • Personalized Communication – We aim to deliver audit services that best meet the unique needs of every client with timely services.
  • Experienced Professionals – Our team of auditors has the expertise to provide you with efficient, effective accounting services.

Our Experience

Broker-dealer audit examinations can be complicated, which is why it’s important to hire a firm with substantial industry experience.

For over a decade, Assurance Dimensions has provided high-caliber audit services to our clients. 

As a registered PCAOB firm, we provide audit services to securities brokers located throughout the United States. 

Assurance Dimensions is committed to the broker-dealer community and we use the latest industry best practices to stay on top of changes in the regulatory environment.

How We Can Help

To respond to the SEC’s growing complexity of regulations, it has become imperative that broker-dealer firms enlist professionals with industry expertise. 

Our team of talented professionals provides our clients with big firm services with a personal approach to provide timely and consistent engagements according to PCAOB standards.  

We strive to be approachable to answer questions when they arise throughout the year so that your audit goes smoothly.

Comprehensive Business Advisory Services

In addition to broker-dealer audits and assurance, we offer comprehensive business advisory services for publicly traded companies. 

Get Started Today

Send us a message or request an appointment through the contact form below.


    Your Name*

    Your Email*

    Phone Number*

    Organization’s Name

    Select State*

    Year-end or time period of the engagement

    Deadline(s)

    Are tax services needed?

    Did a CPA complete this service for you in the prior year?

    Other Comments

    (813) 443-5048

    Tampa Bay

    4920 W Cypress Street, Suite 102
    Tampa, FL 33607


    Jacksonville

    4720 Salisbury Road, Suite 223
    Jacksonville, FL 32256


    South Florida

    2000 Banks Road, Suite 218
    Margate, FL 33063


    Orlando

    1800 Pembrook Drive, Suite 300
    Orlando, FL 32810