Broker-Dealer Audits

Do you need a reliable audit partner to certify your fiscal year end financial statements?


EHTC understands the challenges an introducing broker-dealer may face growing and running their business while maintaining balance with compliance under complex rules and regulations. We specialize in conducting audits of introducing broker-dealers so they maintain compliance with Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) requirements. We are registered with the Public Company Accounting Oversight Board (PCAOB) and are subject to regulation by the PCAOB. Additionally, we conduct internal inspections annually and external peer reviews every three years, assuring we provide you the highest level of quality service. Our team focuses on the utmost level of customer service, and we supply added value with our management communications. We focus on communicating required information under professional standards, while providing practical advice on business improvement opportunities. We meet your annual reporting requirements while exceeding your expectations with our focus on building a partnership with you.

Our team listens to your needs. At EHTC, we believe open, candid communication and an intimate knowledge of your concerns makes it possible to offer appropriate, proactive advice and counsel.

Our Services Include:

  • Audits
  • Agreed Upon Procedures
  • Tax Planning and Consulting
  • Tax Preparation and Compliance
  • Bookkeeping
  • Mergers and Acquisitions

Team Members Available to Assist You