The broker dealer and securities industry has been a niche industry of ours since 1989. The industry is a unique industry that is highly regulated by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
We know that meeting the regulatory, financial statement presentation, and internal controls requirements are critical to our clients. Our experience gives us an advantage in efficiency and enables us to stay on top of the constant changes in the broker dealer regulatory environment.
Since 2009, the SEC requires that auditors of non-public broker-dealers be registered with the Public Company Accounting Oversight Board (PCAOB). Our firm has been registered with the PCAOB since 2009.
Other securities industry services we offer include the following:
- Investment company and venture capital audit services
- Surprise audits required for certain registered investment advisory firms
- Tax planning and tax return preparation
- Testing and structuring of internal controls
- Consulting on financial reporting and presentation issues
In summary
With over three decades of specialization in the broker dealer and securities industry, our firm has established itself as a trusted expert since 1989. This unique sector, governed by strict regulations from the SEC and FINRA, demands precision in meeting regulatory, financial statement, and internal controls requirements.
Leveraging our extensive experience, we excel in efficiency and adaptability to navigate the ever-evolving broker dealer regulatory landscape. Since 2009, our commitment to compliance led us to register with the PCAOB, ensuring adherence to SEC requirements.
Our comprehensive services extend beyond audits, encompassing investment company audits, surprise audits for registered advisory firms, tax planning, internal control structuring, and expert consulting on financial reporting and presentation matters.
If you are in need of a broker dealer audit or any of our other services for the securities industry, please contact us today.
Why Choose Us
Specialized Services for the Broker Dealer Community
At Ernst Wintter & Associates LLP, we bring decades of specialized experience delivering reliable tax and accounting solutions to individuals, businesses, nonprofits—and especially those in the broker dealer sector.
Since 1989, we have provided comprehensive audit and compliance services to broker dealers of all types, giving us a detailed understanding of the financial reporting requirements and regulatory standards unique to the securities industry.
Our long-standing reputation is built on professionalism, integrity, and an unwavering commitment to exceptional client service. We view our clients as our most valuable asset and strive to empower them with the knowledge and tools they need to make well-informed financial decisions.
What truly sets our firm apart is our team. Our well-balanced group of professionals brings a wealth of experience and technical expertise to every engagement.
We work collaboratively and efficiently to ensure our clients receive responsive, accurate, and strategic guidance—whether it’s preparing for an annual audit, maintaining compliance with SEC and FINRA requirements, or managing complex financial reporting obligations.
To remain ahead of industry changes, our accountants consistently exceed continuing education requirements. This investment in professional development allows us to stay on top of evolving regulations, ensuring that our clients receive the most current and effective advice possible.
For broker dealers operating in a highly regulated environment, accuracy and timeliness are non-negotiable. We understand this, and it’s why we offer personalized support designed to reduce risk, ensure compliance, and promote financial clarity.
We don’t just offer services—we build relationships. Our goal is to become a trusted partner who understands your challenges and helps you overcome them with confidence.
To learn more about registration and compliance, visit the SEC’s Guide to Broker-Dealer Registration.
Have questions or need expert guidance? Speak with an Expert today and discover how Ernst Wintter & Associates LLP can help your firm thrive.