Broker-Dealers

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Build with confidence. Stay financially grounded.

Broker-dealers operate in one of the most heavily regulated environments. SEC and FINRA reporting requirements include net capital calculations, segregation of customer assets, and extensive disclosures. These rules demand precision and constant vigilance.

Our financial services team provides end-to-end compliance support. We deliver mandatory SEC annual audits, net capital attestations, FINRA filing procedures, and SOC reports for institutional clients. By combining technical accounting with regulatory expertise, we ensure broker-dealers maintain compliance while staying focused on serving their customers.

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Services tailored to broker-dealers

SEC annual audit preparation and compliance support
Net capital calculation attestations and reviews

We understand the regulatory pressures behind your business and help ensure compliance so you can stay focused on serving your customers.