Broker / Dealers

The rapidly changing regulatory environment has created difficult challenges for broker-dealers and their clients. As margins thin, commission fees decrease and revenues plummet, the industry is desperately trying to identify ways to restore confidence in their operations.

With more than 25 years of experience serving the broker dealer industry, the professionals at StarkSchenkein have a broad understanding of the accounting and regulatory concerns facing this specialized sector. We understand SEC and FINRA regulations and can help you comply as needed. Based on our comprehensive knowledge of your financial goals and business operations, we are positioned to provide innovative financial advice and solutions customized to your business. The StarkSchenkein team provides the following services to our broker-dealer clients:

  • Assurance Services
  • Tax Planning & Preparation
  • Custody Control Review
  • Regulatory Examination Assistance
  • Asset Valuations
  • Anti-Money Laundering Procedures
  • Surprise Audits