HAGAN & BURNS CPA'S
LAFOND, HAGAN, BURNS & ASSOCIATES
 


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.

Tax Services:

  • Preparation of payroll tax returns.
  • Preparation of sales and local tax returns.
  • Income tax planning and advice on the individual, corporate and partnership level.
  • Tax planning for corporations, partnerships and individuals.
  • Representation before the Internal Revenue Service.

Financial Reporting Service:

  • Preparation of audited and unaudited financial statements.

CONSULTING SERVICES

  • SEC and NASD rule interpretations.
  • Financial, operational and regulatory assistance.
  • Answering general compliance issues.
  • Expert witness testimony.
120 Broadway Suite 940 New York, N.Y. 10271
Tel. 212-425-7790
Fax. 212-425-1165