Broker-Dealers

In order to ensure that the company is operating at peak efficiency and providing the maximum return for investments for both broker-dealers and investors, internal audits are critical. Our trained professionals can provide broker-dealers with the help they need with audit procedures, financial statement preparation, and regulatory requirements.

Because we are professional accountants, we can also provide accounting and tax services, including interpretation of net capital rules, accounting and tax consulting, or meeting annual reporting requirements.

Why Choose Us?

We are a Lafayette, Indiana based company, specializing in the broker-dealer industry since 2007. We understand the requirements imposed by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) in this heavily regulated industry, and can help your organization operate smoothly from a financial standpoint.

Meeting the regulatory requirements imposed by these organizations is critical to our clients. Our years of experience allow us to efficiently, effectively advise your business. We are always current on the latest changes in regulation for broker-dealers and can ensure that your company gets the help it needs.

What We Do for You

We have been registered with the Public Company Accounting Oversight Board (PCAOB) since 2009 as required by the SEC for auditors of non-public broker-dealers.

The industry services we offer include:

  • Venture capital and investment company audit services
  • Financial reporting and presentation consulting
  • Unscheduled audits as required for certain registered investment advisory firms
  • Internal control testing and structuring
  • Tax planning and return preparation

Our years of experience and PCAOB registration give us the skills and commitment we need to provide a quality audit at an affordable price. Please call (765) 588-4335 for a consultation, or use the our contact form.