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 services 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 services based on the current regulatory requirements.
Minimal Disruption to Operations
Our accountants make sure that our procedures stay completely aligned with your business model’s 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.