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Tommy is a Manager in the Audit Services Group at Brown Smith Wallace. His experience includes more than seven years in public accounting with a specialized focus in not-for-profit organizations and financial services related entities, including broker-dealers and registered investment advisors.

Tommy’s responsibilities and expertise include:

  • Planning and performing fieldwork for audit and attestation engagements.
  • Performing walkthroughs of client processes and evaluating internal controls of the client’s financial reporting system to assess risks.
  • Identifying potential weaknesses in client processes and controls and drafting business advisory letters.
  • Performing compliance procedures related to anti-money laundering laws and custody rules under the Investment Advisors Act of 1940.
  • Providing training to firm staff relative to new or updated profession standards, laws, and regulations, specifically related to broker-dealer and registered investment advisor clients.
  • Mentoring three professionals in other practice groups in the firm.
  • Providing audit services for not-for-profit and employee benefit plans.

Tommy’s role as Manager means planning and leading audit and attestation services for the firm’s clients, with a significant emphasis in the broker-dealer and financial service industries. He leads the engagement planning and transition process, develops overall audit plans, and works with clients’ management and financial personnel to set and monitor the engagements schedule, fieldwork, and related timing of deliverables.

His insightful experience and performance in these areas has exposed him to complex accounting and compliance issues, such as maintaining compliance with Public Company Accounting Oversight Board (PCAOB) standards, SEC Rule 17a-5, and FINRA rules and regulations.

Tommy earned his Bachelor of Science degree in Accounting and Finance from the University of Missouri – St. Louis (UMSL). He is a Certified Public Accountant, a member of the AICPA, MOCPA and the Securities Industry and Financial Markets Association (SIFMA) Financial Management Society. He serves as the Treasurer on the Board of Directors of Artscope St. Louis.

Community Involvement

Artscope St. Louis - Treasurer, Board of Directors

Professional Organizations

AICPA

MOCPA

Securities Industry and Financial Markets Association (SIFMA) Financial Management Society

Education

University of Missouri - St. Louis (UMSL)

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