Broker-Dealer

Broker-Dealer

Lilling has 30 years of experience auditing both carrying and non-carrying broker-dealers.

Lilling is a PCAOB inspected firm that audits broker-dealers of all sizes across the United States. Lilling has a
commitment to providing timely and relevant financial reporting in the changing regulatory environment. Lilling’s unique approach to broker-dealer audits is recognized by Mark Lilling creating the first peer reviewed broker-dealer audit
program, currently published by John Wiley & Sons.

Broker-dealers are required to submit audited financial statements to the SEC and other regulatory bodies 60 days after year end. This time constraint and increased regulatory scrutiny amplifies the need for you to have an experienced and specialized audit firm. We will work with your management team to help you overcome the increasing regulatory
challenges by taking a long-term approach to the audit process.

We also prepare and test for Anti-Money Laundering compliance, conduct custody audits, and can help broker-dealers with their tax compliance needs.

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