Broker-Dealer
We have over 35 years of experience auditing and providing tax service for broker-dealers.
Lilling is a PCAOB registered and 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 commitment to broker-dealer audits includes Mark Lilling, CPA writing the first peer-reviewed broker-dealer audit program and Thomas Sherwood, CPA sitting on the NYSSCPA Stock Brokerage Committee.
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.