BROKERAGE ADVISORY SERVICES
- Preparation and filing of Broker/dealer registration.
- Preparation and/or review of supervisory procedure manuals.
- Preparation and filing of State securities registrations.
- General compliance consulting.
- Mock audits to test for compliance with SEC and NASD rules.
- Representation at the NASD Pre Membership Interview (PMI).
- Assistance in developing adequate books and records.
- Financial and Operations Principal's for Brokers/Dealers.
- Preparation and/or review of Continuing Education procedures.
ACCOUNTING. AUDIT AND TAX SERVICES
Bookkeeping Services (Books & Records):
- Preparation of the books and records of your business.
- Bank reconciliations.
- Preparation and filing of payroll and payroll tax returns.
- Brokerage account recording and analysis.
- Preparation of payroll tax returns.
- Preparation of sales and local tax returns.
- Income tax planning and advice on the individual, corporate and partnership
- Tax planning for corporations, partnerships and individuals.
- Representation before the Internal Revenue Service.
Financial Reporting Service:
- Preparation of audited and unaudited financial statements.
- SEC and NASD rule interpretations.
- Financial, operational and regulatory assistance.
- Answering general compliance issues.
- Expert witness testimony.