Brokers, Dealers & RIAs

Be Prepared for Any Challenge

We don't have to tell those in the broker-dealer industry that their world is inundated with increasingly complex new rules and regulations that seem to change on a routine basis. What we can tell you is that partnering with an accounting firm that understands your specialized needs will help you navigate today's challenges and put you in an advantageous position for the future.

 

To add further complication, broker-dealers engaged in interstate commerce must be registered with the SEC and in the states where it conducts business, and is subject to the regulatory requirements of the Financial Industry Regulatory Authority (FINRA).

 

Broker-dealers can range from small independent groups that contract with other brokerage firms to clear and settle trades, to large “wire house” firms that are units or subsidiaries of banks or investment companies. Our experience working with broker-dealers and registered investment advisors of all sizes has given us the specialized skills to handle the requirements and needs of these clients. 

 

 

What We Do

  • Assurance – audits
  • SOC & SSAE 16 audits and readiness assessments
  • Tax consulting and compliance
  • General consulting
  • Surprise examinations pursuant to Rule 206(4)-2 of the Investment Advisers Act of 1940
jim

Our broker-dealer & RIA leader

Jim Leutenegger is a tax partner with more than 20 years of experience in providing tax consulting and compliance services.

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