One of the most valuable assets that we offer our clients in need of broker dealer audit services is our securities industry-specific knowledge and experience. We have had hands-on experience auditing all types of broker dealer financial statements dating back to 1989. This gives us direct insight into the complex regulatory environment and requirements of all types of securities broker dealers.
The SEC requires companies seek broker dealer audit services to enhance investor protection. The auditing firm must be registered with the Public Company Accounting Oversight Board (PCAOB).
At Ernst Wintter & Associates LLP our firm is registered with the PCAOB. However, PCAOB registration is a minimal requirement. In order to make sure that you receive the best possible services to suit your needs, you must look at what the auditing service can actually do for you. Our team of specialized CPAs provides individualized broker dealer audit to help you navigate the increasingly complex landscape of the securities industry in an efficient and cost-effective way.
First to Know About Regulatory Changes
When the SEC and FINRA make changes, we are among the first to know. Armed with the latest information, we can offer you the most effective broker dealer audit based on the current regulatory requirements.
Minimal Disruption to Operations
Our accountants make sure that our procedures stay completely aligned with your business modelโs needs, all while minimizing the disruption to your everyday operations. We look beyond your financial statements and consider your corporate objectives and operational structure. Our team easily adapts to our client preferences, whether that is working on-site or from our office.
Problem Solvers with Plans of Action
If we have any concerns during our audit, we will make recommendations and help you create a plan of action to quickly maintain compliance with accounting and regulatory requirements.
Are Your Broker Dealer Audit Services Working for You?
Procuring cost-effective, efficient, accurate broker dealer audit services will help you stay at ease and in compliance.
Other Services for the Financial Services Industry:
- Investment Company Audits: Private Equity Funds and Venture Capital Funds
- Custody Rule Services: Surprise Examinations, SPV (Special Purpose Vehicle) Audits
- Financial Reporting Consulting and Preparation
- Tax Return Preparation
Whenever you need accounting services relating to the securities industry, contact our team at Ernst Wintter & Associates LLP. We are experienced in broker dealer audit services.
Why Choose Us
Broker Dealer Audit Services Built on Integrity and Experience
At Ernst Wintter & Associates LLP, we understand the complexities involved in financial compliance for the securities industry. Our broker dealer audit services are built on decades of hands-on experience, professionalism, and a deep commitment to accuracy and integrity. Located in Walnut Creek, CA, we have proudly supported individuals, businesses, and financial firms with their tax and audit needs for many years.
What sets us apart is not only our experience but our approach. We treat our clients as our greatest asset and strive to empower them with the knowledge and confidence to make well-informed financial decisions. Our team works closely with broker dealers to ensure audits are completed thoroughly, efficiently, and in full compliance with SEC and FINRA regulations.
Our professionals bring a well-balanced blend of technical expertise and practical understanding to every engagement. Whether you’re operating a small independent firm or a large financial institution, we have the capabilities to address your specific audit requirements. Weโve conducted audits across a wide spectrum of broker dealer structures, providing clarity and consistency throughout every stage of the process.
Continuous learning is part of our culture. Our staff completes more continuing education than required by our profession to ensure that we are always aligned with current regulations and best practices. This commitment means our clients benefit from strategies that are not only effective but also forward-thinking.
We believe in service that is responsive, respectful, and relationship-driven. Youโll always have a knowledgeable point of contact ready to assist with your questions and guide you through regulatory changes.
To learn more about industry requirements, we recommend the FINRA Broker-Dealer Registration Guide.
If you’re ready to work with a firm that brings insight, reliability, and a proven track record to every audit, Speak with an Expert at Ernst Wintter & Associates LLP today. We’re here to help you navigate your compliance with confidence.
