PCAOB-registered. Ready to serve.

Broker-dealer audits have been a core part of our practice for more than 30 years. From our office in Maitland, Florida, we audit broker-dealers across the country, including introducing firms, mutual fund and annuity brokers, and M&A brokers. You work with an experienced team that knows the 17a-5 calendar and stays with your engagement from planning through filing.

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Call (407) 740-7311

What your annual audit covers

Under SEC Rule 17a-5, broker-dealers file annual reports with the SEC and FINRA, generally within 60 days of fiscal year-end. Those reports include audited financial statements and supplemental schedules, along with either a compliance report or an exemption report, each accompanied by a report from an independent, PCAOB-registered accountant.

We perform that work under PCAOB standards. Before we start, we’ll walk through which reports apply to your firm and what we’ll need from you to meet your deadline.

For SIPC members, we also perform the agreed-upon procedures on your annual SIPC assessment reconciliation when they’re required.

How an engagement works

01

Start with a clear scope

Tell us about your business activities, how you clear transactions, your fiscal year-end, and when your filing is due. We’ll confirm which reports apply, what the engagement includes, and the timeline before any work begins.

02

Know what to prepare

Once we’re engaged, you’ll get a clear list of what we need, typically your trial balance, net capital computation, bank and clearing statements, and supporting schedules. The goal is no surprise requests late in the process.

03

Keep things moving

A dedicated team works on your engagement, and you’ll know where things stand as the filing deadline gets closer.

Questions before you begin

Your firm’s name, a short description of its activities, your fiscal year-end, whether you file a compliance or exemption report, and any upcoming deadlines. Financial documents can follow through a secure channel once we’ve talked.

Yes. Firms change auditors for all kinds of reasons: cost, responsiveness, a shift in their business. Reach out well ahead of your fiscal year-end so there’s time for the transition, including the required communication with your prior auditor.

It depends on your firm’s size, activities, and which reports apply. We’ll talk through your situation and spell out the scope and fees in an engagement letter before work begins.

Yes. Our practice includes tax preparation and planning for businesses and individuals, including owners and principals of financial firms. For the broker-dealer itself, we can act as your auditor or as your accountant, but not both. Independence rules don’t allow it, and we’ll be clear about which role fits from the start. View all services.

Let’s talk about your next audit.

Whether your year-end is next month or next fall, a short conversation is the easiest way to sort out scope, timing, and fit.

Discuss Your Audit