Broker Dealers

Broker Dealers

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.

SERVICES INCLUDE:

  • Audits
  • Tax Preparation, Compliance, and Planning
  • Anti-Money Laundering (AML) Agreed-Upon Procedures Engagements
  • Surprise Examinations of Investment Advisors

Frank Cannon

(610) 668-4200

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Ryan D. Karli

(610) 709-5055

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Richard Wortmann

(610) 709-5046

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