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Broker Dealers


The constantly changing regulatory environment has created unique challenges to broker-dealers in their desire to remain compliant with the various organizations that govern them. Marcum has responded to this demand by forming the Broker-Dealers in Securities Group. Our dedicated financial services professionals have the experience to help Broker-Dealers identify and address a wide range of compliance and operational issues within the environment of increased scrutiny and accountability from legislators and investors. We provide specialized services that address industry-specific issues, opportunities, and risks. These include:

Assurance Services

Financial Audits

  • Entity Selection and Corporate Restructuring
  • Due Diligence
  • Mergers & Acquisitions (M&A)
  • Representation Before Regulatory Bodies
Accounting Services
  • Focus Reporting
  • Bookkeeping
  • Back-Office
Tax Services
  • Tax Preparation & Compliance
  • Tax Planning & Consulting

 

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