As a broker-dealer, you need assurance, accounting, tax, and consulting professionals who understand the intricacies of your environment, are technically skilled, keep current on regulations and issues impacting your industry, and who can seamlessly coordinate with you and your third-party providers. Untracht Early’s dedicated Broker-Dealer Services team accomplishes this for organizations ranging from start-ups to established entities.

Pivotal Coordination

Proficient & Synchronized

Our professionals have built the Broker-Dealer practice on making it their business to understand yours.  The breadth of broker-dealer clients we’ve worked with gives us first-hand insight into how these clients’ operations function, the procedures that are successful, and the areas that prove challenging.  This perspective allows us to provide a unique depth of service to introducing brokers, third-party marketing firms, structured transaction brokers, and merger and acquisition firms.

Our value-added service consists of proactive planning, frequent communication, on-time delivery, and a collaborative approach to working with management and third-party providers that ensures seamless coordination for all aspects of your engagement.

Primary Services

  • Efficient, timely annual audits of the financial statements and related supplemental schedules that meet all regulatory deadlines (performed in accordance with PCAOB Standards)
  • Review of the statements (assertions) made in the exemption report and performance of agreed upon procedures regarding the General Assessment Reconciliation (Form SIPC-7)
  • Tax preparation and compliance services in keeping with current taxation legislation

Meet Our Team

Whether our broker-dealer clients are looking for a full audit, audit support, or tax work, we pride ourselves on offering them a team of professionals with industry insights gained from experience in their field.  Teaming closely with our clients, we map out a clear plan that works for their specific organization and execute on that plan, keeping them informed every step of the way.

Robert N. Slootmaker