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.