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Broker Dealers

Cropper Accountancy has approximately thirty broker dealer clients, including brokers that sell securities and deal with mergers and acquisitions, comprised of non-carry broker dealers. 

We are registered and periodically reviewed by the Public Company Accounting Oversight Board (PCAOB), a step above and beyond the peer review standard, ensuring that you are getting the quality audit your broker dealership deserves (PCAOB number- 3381). Every one of the audits we do has an outside, independent quality review that is required by the PCAOB, who sets the standards in accordance with the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA). 

What can I expect from a Broker Dealer audit?

Using the above standards, we provide three items: 1) Financial Statement Opinion Report, 2) Attestation Report on the Exemption Report, and 3) Agreed-Upon-Procedures (AUP) on the SIPC report. 

As a highly regulated area by the PCAOB, we are proud to offer independent Engagement Quality Reviews (EQR) which have been a stumbling block for many of our competitors. Our most recent peer results gave us high marks on their review of our work papers.

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