We are a Public Company Accounting Oversight Board (PCAOB) registered accounting firm. As a PCAOB registered firm, we are able to audit your financial statements to assist in regulatory compliance. Our experienced professionals understand the many unique aspects of broker-dealer financial reporting and compliance requirements. Our clients range from small boutique firms to large multi-state entities and cover both carrying and non-carrying broker-dealers.
Richard Wortmann has provided training to other auditors to assist them in determining whether broker-dealer audits have been performed in accordance with relevant professional standards.
- Tax Preparation, Compliance, and Planning
- Anti-Money Laundering (AML) Agreed-Upon Procedures Engagements
- Surprise Examinations of Investment Advisors