Broker Dealer Auditors

It’s Important to Hire Experts

Alvarez & Associates provides certified report services to securities broker dealers across the country.

We Know the Securities Industry

You’ll enjoy working with our knowledgeable and friendly staff, and with our very low personnel turnover, you’ll appreciate seeing the same faces year after year.This applies no matter what your size, from a one-man shop to a complex firm with multi-state operations.

Our turnaround time is quick and our ability to perform audits without interrupting the workplace has made our clients appreciate us even more.Our fees are reasonable; in fact they’re as low as we can make them while still following all the rules and regulations.

20 Questions for an Audit Quote

Compliance

1. Net capital requirements

2. Current ongoing litigation

Revenue

3. B/D earns revenue from (check all that apply)

4. Revenue range

5. Number of monthly deposits

6. If Retail (equity/mutual funds), number of daily tickets

7. Number of sales representative(s)

Expense

8. Number of monthly cash disbursements

9. Number of check signer(s) & authorized bill-pay, etc.

10. Number of people in accounting department

11. Outside payroll service

12. Accounting system

Balance Sheet

13. Cash accounts

14. Investments, mark-to-market accounting apply?

15. Secured demand notes/Subordinated debt

16. Does the company have any of the following

17. Related party transactions/disclosures

18. Shareholder(s)

19. Haircuts for (check all that apply)

20. Leases or other contractual commitments to disclose in notes

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