Broker Dealer Audit Services:
Expertise You Can Trust
Navigating the complex regulatory environment of the securities industry requires more than just meeting minimum requirements. It demands specialized expertise, current industry knowledge, and a trusted partner who understands the specific needs of broker dealers. At Ernst Wintter & Associates LLP, our Broker Dealer Services are built on decades of experience and a deep understanding of SEC and FINRA regulations. Since 1989, weโve provided comprehensive audit and compliance support tailored to broker dealers, helping firms stay ahead of regulatory changes while maintaining operational integrity.
Why Broker Dealer Audits Are Essential
Broker dealer audits play a critical role in maintaining investor trust and ensuring regulatory compliance. As mandated by the SEC, these audits must be conducted by firms registered with the Public Company Accounting Oversight Board (PCAOB). However, PCAOB registration alone isnโt enoughโyou need a team that brings value beyond compliance.
At Ernst Wintter & Associates LLP, we specialize in delivering efficient, accurate, and tailored audits that not only meet regulatory requirements but also support your business goals.
What Sets Our Broker Dealer Audit Services Apart?
Industry-Specific
Expertise
With decades of experience auditing a wide range of broker dealer financial statements, we bring unmatched insight into the securities industry. Whether you operate as a full-service broker dealer or a niche market specialist, we understand the complexities of your business.
Always Ahead of Regulatory Changes
Regulations in the securities industry evolve rapidly, and staying compliant requires proactive monitoring. Our team stays ahead of SEC and FINRA updates, ensuring your audit reflects the most current standards and safeguards your compliance.
Minimal Disruption to Your Operations
We understand that an audit shouldnโt disrupt your daily business. Thatโs why our team works seamlessly with your operational structure, whether onsite or remotely, to deliver results with minimal interference.
Solutions That Go Beyond Compliance
If issues arise during the audit, we donโt just identify themโwe provide actionable recommendations to address them. From improving compliance to optimizing reporting processes, weโre here to add value at every step.
Comprehensive Services for Broker Dealers
Choosing the right audit partner is about more than checking a regulatory box. Itโs about working with a firm that helps you navigate challenges, stay compliant, and achieve your business objectives. With a focus on cost-effective, efficient, and accurate audit services, EWA is committed to helping you succeed in the ever-changing securities industry.
Expert Audit Resources for Broker Dealers
At Ernst Wintter & Associates LLP, we offer more than accounting and audit servicesโwe offer resources for businesses and organizations seeking trusted financial guidance. Explore articles, checklists, and FAQs designed to help you understand complex audit requirements and prepare for your next financial review.
Why Excess Benefit Transactions Are Out-of-Bounds
As a long-time dedicated board member of her cityโs most recognized social-services charity, Emily violated an IRS rule that prohibits
Broker Dealer Audit Deficiencies
The Public Company Accounting Oversight Board (the โPCAOBโ) recently released its annual report of findings in audits of broker dealers
The Broker Dealer Audit Program
The purpose of performing broker dealer audits and requiring regular reporting is to verify that broker dealers are compliant with
Empowering Business and Organizations
Choosing the right audit services isnโt just about compliance; itโs about gaining a partner in your financial success. By working with EWA, you gain access to expert insights, comprehensive reporting, and a wealth of resources that keep you informed and prepared.
Whether youโre looking for guidance on nonprofit audits in California or navigating nationwide financial regulations, our goal is to provide the tools and expertise you need to succeed.
Everything You Need to Prepare for Your Broker Dealer Audit
Download our project planning checklist to track the various items needed to gather and prepare for your upcoming audit.
Certifications & Memberships
Why Choose Us
At Ernst Wintter & Associates LLP, we are committed to providing personalized, high-quality accounting services with professionalism and integrity. With years of experience serving both individuals and businesses, our team offers efficient, knowledgeable support tailored to your needs.
We believe our clients are our greatest asset, and we empower them with the insights and tools necessary to make sound financial decisions. Our professionals regularly exceed industry continuing education standards to deliver the most up-to-date and effective solutions.
Whether youโre navigating regulatory compliance or managing complex audits, our team brings clarity and confidence to every engagement.
Broker Dealer Services That Support Compliance
Our Broker Dealer Services are designed to help you meet SEC and FINRA requirements with ease and accuracy. Learn more about FINRA broker-dealer guidelines and the value of expert oversight.
Speak with an Expert to see how we can support your firm.
