Broker-Dealer Advisory Services
Brown Smith Wallace has an entire network of resources to provide specialized services and accounting, audit and tax solutions for the unique regulatory and operational complexities of the brokerage industry. Our services safeguard broker-dealers and their clients from potential risks.
Our professional broker-dealer team is trained to use data extraction software to test key account balances and transaction classes. Our technology expertise along with our risk-based audit approach results in a more efficient and effective audit. Our expert analysis and feedback supplements standard auditing procedures.
In addition to the traditional services of audit and assurance, we provide a broad range of industry specific support for this niche market. Our full-service audit approach minimizes regulatory reporting frustrations so you can focus on maximizing your returns and achieving your firm’s goals. With the expertise of our team, we provide support on a number of issues affecting broker-dealers including:
|
Currently we provide audit and assurance services to broker-dealers ranging from individual consultants to large publicly traded brokerage firms. We can help you navigate the ever changing rules facing your industry. Contact us to learn about the constructive and proactive suggestions we may have for your firm.
Click to receive your complimentary copy of Insights magazine.
