Initial SEC and NASD registration
FOCUS preparation and filing
Annual certified audits
Tax preparation
Monthly accounting
Accounting system analysis
Accounting system design
Securities accounting and
regulatory report instruction

Are You in the Securities Industry?

If you are, you have special needs that require specialized accounting expertise. Dunleavy & Company, P.C. is a firm of certified public accountants (CPAs) that specialize in the area of securities broker/dealers.

Walking the Tightrope?

Are you walking the tightrope between tax and securities regulatory restrictions? (The former penalizing for too much capital and the latter for too little capital).

Are you setting up a broker/dealer and need to know the structure that will best allow you to successfully walk that tightrope?

Dunleavy and Company has the experience to sift through the chaff and provide you with the expert advice that you need.

We Have the Securities Industry Expertise You Need

Our client base varies from one-man shops to fully clearing broker/dealers. Whether you are starting a new securities firm (broker/dealer or investment advisor); considering the purchase of a securities firm; conducting the ongoing operations of a securities firm; or considering winding down or terminating your securities firm, contact us today to talk to accountants experienced in the securities industry.

We will help you by...

Preparing the annual certified audit for your broker/dealer and/or investment advisory firm
Preparing your FOCUS Reports or instructing you on how to internally prepare your own FOCUS Reports
Providing monthly bookkeeping services for your securities firm
Analyzing your financial reporting system to improve your operations
Assisting you during your initial registration process with the SEC and NASD
Assisting you in responding to the results of NASD and SEC audits
Providing Broker/Dealer compliance consulting and outsourcing