Broker / Dealer
“KLP has been working closely with broker-dealers for over 30 years”
- Are you concerned that your current independent accountant may not be qualified to perform your next annual audit?
Regardless of the regulatory environment, KLP is committed to performing broker-dealer audits well into the future.
Our past experience includes providing accounting, auditing, and tax services to broker-dealers ranging in size from a small firm with very few transactions up to a firm with over $20,000,000 in yearly revenues. We’ve audited both self-clearing and fully disclosed broker-dealers. In addition to our knowledge in accounting and auditing, we understand net capital calculations, reserve calculations and the difference between self-clearing and fully-disclosed brokerages.
All of us at KLP are dedicated to providing prompt and efficient service of the highest standards. We pride ourselves on our responsiveness and the ability to provide continuity of personnel on each engagement.