Broker Dealer Audit Examinations

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.

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. 

• • Acquisition Audits
  • Due Diligence
  • Form Filings (Annual 10Ks, 11Ks, Quarterly 10Qs, Periodic 8Ks)
  • Initial Public Offerings (IPOS)
  • Internal Audit Co/Out-sourcing
  • Registration Statements
  • Sarbanes-Oxley (SOX) 404 Compliance
  • Broker-Dealer Audit Examinations
  • Surprise Audit Examinations