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Overview

The broker-dealer professionals at Brown Smith Wallace provide a full range of audit and assurance, tax, and consulting services to firms of varying size and complexity. Our structure and business model allow for us to adjust our approach to the needs of the firms for which we are providing services and to “right-size” our service offerings. In addition to offering traditional tax and auditing services, we also offer non-traditional, cutting edge services such as the following:

Risk-Based Audit Approach
We focus on the areas of your firm’s operations that result in the greatest risk and exposure and design our audit procedures to respond directly to these risks. This approach results in a more efficient and effective audit thus providing a Measurable Difference in our services that we provide to you.

Data Analysis
Our team is trained to use data extraction software to efficiently test key account balances and transaction classes.

Comprehensive Regulatory Compliance
Our trained professionals understand FINRA, SEC, and PCAOB rules and regulations and can help mitigate your firm’s risk in terms of overall compliance. In addition to risk prevention, our team also excels in implementation of regulatory findings provided to firms as a result of the inspection process.

Broker-Dealer Health Checkup
Our proprietary assessment tool that helps you evaluate your operations while analyzing operational and financial ratios and the strengths and weaknesses of your firm. The Checkup can be a useful tool in developing a customized action plan to ensure continued success.Call us today for more information regarding our broker-dealer services or to schedule a broker-dealer Health Checkup™.

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