Broker-Dealers

Broker-Dealers have specialized needs which require the right level and caliber of support. WithumSmith+Brown's Financial Services group includes an elite group of Broker-Dealer specialists who dedicate considerable resources to keep clients ahead of the curve and who are up-to-the-minute on SEC and FINRA rules and regulations. We provide timely and valuable information which enables you to make informed decisions that put you in a position of strength.

Following are some of the many services we provide to the Broker-Dealer community:

• Annual filing of audited financial statements required by Rule 17A-5(d)
• Assistance with FINRA and SEC examinations and compliance
• Back office accounting and FOCUS filings
• Year-end tax compliance
• Proactive tax planning