Broker/Dealers in securities have an on-going challenge to remain compliant to the rapidly changing regulatory environment. In an attempt to better protect investors and eliminate fraud, Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) are looking with increasing scrutiny at the compliance and operational integrity of Broker/Dealer firms.

Patke & Associates team of audit and accounting professionals posses a high-level of expertise in working within the requirements of regulatory organizations. This team provides a suite of specialized services specific to the broker/dealer community to assure operational and compliance excellence.

Our Broker/Dealer Audit Services Include :

• Independent Financial Audits
• Tax Planning, Consulting & Compliance
• Regulatory Consulting & Compliance
• Operational Consulting & Compliance
• Due Diligence