• Our Broker-Dealer Team specializes in accounting, regulatory compliance and auditing for the broker-dealer industry.

    Serving the broker-dealer industry for over 45 years, the EisnerAmper Broker-Dealer Team provides services including:

    Financial statement audit
    Business tax return preparation and review
    Principals' individual tax returns where permitted by law
    Advice on FINRA, the SEC, CFTC, the National Futures Association, and other regulatory bodies
    Controls and compliance with regulatory organizations
    Accounting and portfolio systems
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Broker-Dealers

  • Alpha Awards

    Each member of EisnerAmper’s Broker-Dealer Team has an in-depth knowledge of the accounting, regulatory, and systems concerns related to this highly specialized industry. We’ve served the industry for more than 45 years and currently deliver services to more than 50 broker-dealers, including firms specializing in retail sales featuring large numbers of registered reps as well as retail brokers, market makers/specialist firms, investment bankers and corporate financiers, investment advisors, municipal bond specialists, and government securities dealers. Our expertise enables us to recognize business needs and problems, and proactively implement solutions. Whether a start up; a boutique, single-office entity; a larger firm with multiple lines of business and branches; or a subsidiary of a commercial or investment bank; our clients rely on us for focused, responsive services tailored to their specific needs.

    Single-office to multinational clients rely on us to

    • Audit financial statements
    • Prepare or review business tax returns, as well as, where permitted under regulations, the principals' individual tax returns
    • Advise on matters involving FINRA, the SEC, CFTC, the National Futures Association, and other regulatory bodies
    • Evaluate and improve controls, compliance with regulatory organizations, and back-office operations
    • Design and implement accounting and portfolio systems, where permitted
    • Advise on the economic and tax issues regarding investor allocations and distributions; and
    • Assist in recruiting personnel and other human resource functions.
EisnerAmper is an independent member of PKF North America.
PKF North America is an independent member of PKF International.