Broker-Dealers

Whether your business is engaged in investment banking, equity or municipal securities trading, or research and publication of securities transactions, you need a firm that understands your needs. Wolf is a PCAOB registered and inspected CPA firm experienced in serving broker-dealers and reporting to FINRA. We provide a wide range of assurance, compliance, and consulting services to broker-dealers.

The Wolf team is your resource throughout the year. In a highly regulated industry you want ready access to your team, and help from experienced professionals to answer your questions as they arise. We’ll be there, and routine calls to respond to questions are welcomed—at no additional cost. Wolf’s dedicated professionals have the experience and credentials that your broker-dealer business needs.

Services include:

• Financial statement audits
• Internal control reporting
• SIPC agreed-upon procedures
• Tax planning and compliance
• Consultations on organizational structure and succession planning
• USA Patriot Act reviews
• Anti-money laundering reviews
• Annual compliance program reviews
• Network security reviews
• Disaster recovery plans
• Data privacy guidance
• Technology risk assessments

We stay abreast of matters impacting broker-dealers and will keep you informed on accounting, tax and reporting matters. You can be assured that you’ll receive timely responses, insightful guidance, and practical solutions from the Wolf team.

Download a PDF to learn more about our Broker-Dealer services.

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