Securities Broker – Dealers

Expert Broker-Dealer
Audit Services

Rules and regulations in the broker-dealer industry have been heightened in the wake of illegal activities and broker improprieties. Broker-Dealers of all sizes have been affected by the increased scrutiny. It is important to find a firm that has the relevant knowledge and expertise in this ever changing industry. Our professionals have extensive experience performing timely audit and tax services to our broker-dealer clients.

The Securities and Exchange Commission ordered that beginning in 2008, nonpublicly traded as well as publicly traded broker-dealers have to be audited by a firm registered with the Public Company Accounting Oversight Board (PCAOB). We have been registered with the PCAOB since its inception.

Key Broker –

Dealers Services

  • Independent audit and assurance services
  • Tax compliance and planning services
  • Tax return preparation
  • Representation before the IRS and state taxing authorities

Our Personal Touch

At Hacker, Johnson & Smith PA, we make the audit and tax processes as easy and painless as possible, while also providing our clients with important guidance along the way to help them operate as effectively and efficiently as possible. Our philosophy remains quite simple, to become thoroughly familiar with our clients’ operations so that we can provide the most efficient and cost effective audit and tax services.

We perform our audit in multiple phases, which allows us to identify compliance, accounting and tax issues and errors as timely as possible. We are available to be used as a sounding board not only for accounting matters, but for matters of general interest. Because we understand and acknowledge that it is best for our clients to alert us as situations occur that could have accounting, tax and audit implications, we are available for meetings and telephone consultations throughout the year at no additional cost. That is all part of our audit and tax services at Hacker, Johnson & Smith PA.