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industries

Broker-Dealers

Gain confidence
Broker-dealers

overview industries services professionals insights events success stories

Pair our eye for detail with your bottom-line instincts
 

In an increasingly specialized marketplace, broker-dealer time is best spent in pursuit of bottom-line results—and BerryDunn provides the audit and tax expertise necessary to support your efforts.

As partners to broker-dealer clients, our behind-the-scenes efforts enhance confidence that critical details are in good hands. Our team supports broker-dealers with:

  • High-quality audits. Our experts have guided regional and national clients through financial challenges and opportunities for more than four decades. We bring deep experience and visionary guidance that mitigates risk, anticipates challenges, and paves the way for future success. 
     
  • Regulatory expertise. We regularly work with clients subject to regulations issued by the Securities and Exchange Commission (SEC), the Public Company Accounting Oversight Board (PCAOB), and the Financial Industry Regulatory Authority (FINRA). 
     
  • Knowledge sharing. Our team keeps clients up to speed on emerging industry developments to ensure client compliance and change preparedness.
     
  • Independence and objectivity. Our professional services comply with the limitations of the AICPA, PCAOB, and other regulatory bodies, and we bring that dedication to each and every client.  

Related Industries

Related Services

Accounting and Assurance

Agreed-Upon Procedures Employee Benefit Audits Financial Statement Audits Forensic Accounting, Fraud Investigation, and Risk Assessments
Internal Controls Review IT Controls Review SEC Audits, Reports and Filings SOC Audits

Tax

Consulting and Compliance
State and Local Tax

Consulting

Business Advisory

Affordable Care Act Employee Stock Ownership Plan Consulting Executive Compensation Consulting Executive Recruiting Retirement Plan Advisory Succession Planning

Information Security

Policy and Procedure Development Security Compliance, Risk and Gap Assessment Security Program Development Vulnerability Scanning and Penetration Testing

Organizational and Governance

Business Process Improvement Change Management Organizational Studies Strategic Technology Planning

Valuation

Business Valuation

Related Professionals

Principals

BerryDunn experts and consultants

Articles

AI and your business: Opportunities for competitive advantage
Catch-up contributions: Impacts of the SECURE 2.0 Act
2024 Deadlines and important dates for plan sponsors
SOC 1 and SOC 2 reports: What to know before you buy new software
Factors affecting the value of a company
DOL's Employee Benefits Audit Quality Study: 5 key takeaways
Retirement plans and cybersecurity: Insights for plan sponsors
Broker-dealer insights: PCAOB Report on the Interim Inspection Program
ESG: Understanding what it means to your organization
Broker-dealer expense sharing: Best practices to help design a robust expense sharing process
FINRA: Broker-dealer obligations when selling private placements 
Department of Labor (DOL) changes to the 2023 Form 5500
Digital well-being: A fine line between staying connected and losing touch 
How can private companies retain top talent?
Secure 2.0 Act of 2022 introduces key changes for workplace retirement plans
Decide: Value acceleration series part five (of five)
Digital assets: Potential benefits and risks for employee benefit plans
Planning and execution: Value acceleration series part four (of five)
The discover stage: Value acceleration series part two (of five)
Important changes to securities industry continuing education
The process: Value acceleration series part one (of five)
Massachusetts voters pass "Millionaires tax"
Chapter 62F law to give Massachusetts taxpayers a bonus refund
Yes, you need a SOC for cybersecurity report—here's why
We wrote the book on business valuation—and it's available now
Digital signatures: FINRA sends reminder on supervision obligations
New Hampshire says no to income taxation by neighboring states
Cyberattack preparation: A basics refresher
Easing the potential burden of abandoned 401(k) accounts 
What employers need to know before making gifts to employees
2020 Annual Report on the Interim Inspection Program Related to Audits of Brokers and Dealers
ESG reporting: Considerations for boards and those charged with governance
Service organizations and review of SOC 1 reports: Considerations and recommendations
CARES Act: Eligibility for employee retention credits
Eligible broker-dealers: Take advantage of SEC's 30-day filing extension
May the "blended workforce be with you": Policy and internal control considerations for a new era
Updated guidance on the Employee Retention Credit (ERC): Important considerations for employers
New Hampshire v. Massachusetts: Sovereignty or status quo?
Attention taxpayers doing business in New Hampshire
Employee Retention Credit: Additional guidance for employers claiming it under the CARES Act
SALT watch: Four issues to consider in 2021
Massachusetts emergency paid sick leave (MA EPSL)
IRS guidance: Retroactively claiming the 2020 ERC
Biden's tax plan: Tax reform details remain unclear
Stimulus bill extends and expands the Employee Retention Credit
Paycheck Protection Program: Updates on new and existing loans
Impacts of the CARES Act on employee benefit plan distributions
Maine's new earned paid leave law―What employers need to know
The SEC updates its broker-dealer financial reporting rule FAQs 
Update: Treasury issues a revenue ruling and revenue procedure regarding PPP forgiveness
COVID-19 and Section 139: Tax-free payments or reimbursements to employees
Paycheck Protection Program: New regulatory announcements
Payroll tax deferral update
To withhold or not to withhold payroll taxes―The dilemma facing employers
$200 Million Maine Economic Recovery Grant Program released
The remote worker during COVID-19: Tax nexus and the new normal
PPP loan forgiveness: Updates
May 2020 accounting standard delay status: GASB and FASB
Employee Retention Credit―Updated IRS FAQs provide clarification
Value acceleration in times of uncertainty
FASB and GASB news: Postponement of the lease accounting standards
Updated: Funding for the Paycheck Protection Program (PPP)
How does your control environment look in a remote world?
CARES Act―Employee retention credits for employers subject to closure due to COVID-19
Highlights of the recently passed paid sick and family leave act: What you need to know
Are your vendor contracts putting you at risk?

Podcasts

In the Spotlight: Guiding Clients on Complex Accounting with Kristen Perry
June 1, 2023
In the Spotlight: Guiding Audit Quality and Efficiency with Todd Desjardins
January 17, 2023
In the Spotlight: A Passion for Serving Banks and the Community with Jennifer Gureckis
January 13, 2023
In the Spotlight: Dissecting Accounting Standards to Help Clients Navigate Change with David Stone
January 9, 2023

Press Releases

BerryDunn Named a Fastest Growing Firm by INSIDE Public Accounting
August 9, 2024
BerryDunn Recognized as a 2023 INSIDE Public Accounting Top 100 Firm
August 18, 2023
BerryDunn Taps DEI Leader to Round Out the Firm's Culture and Engagement Team
August 2, 2023
BerryDunn Recognized as Top 100 Accounting Firm by Inside Public Accounting
August 12, 2022
BerryDunn Ranked #1 CPA Firm in New England by AccountingTODAY
March 11, 2022
BerryDunn Creates New C-Suite Position, Hires Chief Culture and Engagement Officer
December 2, 2021
Forbes calls out BerryDunn as one of America's Best Tax and Accounting Firms
December 2, 2021
BerryDunn Announces Leadership Promotions and Appointments, Chandler Honored
July 1, 2021
BerryDunn Announces New CEO and Managing Principal
June 15, 2021
BerryDunn Unveils New Logo, Refreshed Brand
December 3, 2020
Forbes Again Ranks BerryDunn Among Top US Tax Firms
December 1, 2020
10 Years and Running―BerryDunn Once Again a Top 100 Firm
August 18, 2020
United Way of Greater Portland Announced Racial Equity Fund
August 3, 2020
BerryDunn Announces Location of New National Headquarters
July 27, 2020
AICPA Names BerryDunn's David Stone as Winner in the 2018 Elijah Watt Sells Award
April 23, 2019

Resources

Recently issued accounting pronouncements: Financial services update for December 2023
January 2, 2024
Recently issued accounting pronouncements: Financial services update for September 2023
October 4, 2023
Recently issued accounting pronouncements: Financial services update for June 2023
July 13, 2023
Recently issued accounting pronouncements: Financial services update for March 2023
March 27, 2023
DOL and ERISA compliance: Retirement plan provisions
May 25, 2021
ASC 842 implementation infographic
January 27, 2020

Podcasts

Professional
Todd Desjardins

"Changing auditors can be a challenging process; however, the BerryDunn team made the process much easier to navigate. They were responsive, collaborative, and transparent as we worked together to meet our regulatory filing deadline."

- Richie Yeates and Mike Prendergast, President and Chief Compliance Officer, APA Securities, LLC

Testimonial
Responsive, collaborative, and transparent
Article
Broker-dealer expense sharing: Best practices to help design a robust expense sharing process
Article
FINRA: Broker-dealer obligations when selling private placements