Broker-Dealers

Focused on Momentum

With standards and rules changing every day, you need someone on your side who has a deep understanding of what it takes to help you navigate the demands of this fast-moving industry.

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How Citrin Cooperman Can Help

Citrin Cooperman’s dedicated Broker-Dealer Practice is at the forefront of these changes. Our practice provides consulting, audit, and tax services to broker-dealers of all sizes. We are veterans in the securities industry and are active members of SIFMA Internal Audit Society, the New York State Society of Certified Public Accountants, the Stock Brokerage Accounting Committee, and the American Institute of Certified Public Accountants. We work with chief executive officers, compliance officers, and both in-house and outsourced financial and operations principals (FINOPs).

We provide services to more than 80 broker-dealers, ranging in size and scope from single-office to global operations, including:

  • Broker-dealers dually registered as investment advisors
  • Broker-dealers registered under Rule 15a-6
  • Broker-dealers that execute for financial institutions
  • Clearing and carrying brokers
  • Investment bankers
  • Proprietary traders
  • Underwriters

Core Services

Core Services
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Specialty Services

In addition to our core assurance, tax, and advisory services, we also provide

  • Advisory services as they relate to FINRA, the SEC, CFTC, the National Futures Association, and other regulatory agencies
  • Business tax return preparation and review, as well as principals’ individual tax returns (as appropriate)
  • Evaluation and improvement of internal controls
  • Customer reserve computation
  • Financial statement audits
  • Initial capitalization and organizational structure
  • Internal accounting
  • Net capital accounting assistance and back office
  • Personnel and human resource operations

Our Broker-Dealer Specialists are here to help.

Get in touch with a specialist in your industry today.