One of the key benefits we provide our broker/dealer clients is our in-depth experience with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) requirements. In addition to being a PCAOB-registered firm, that industry-specific experience enables us to provide a flexible approach to audit timing that allows for proactive planning for FINRA and SEC filing requirements.

Our team uses a focused audit approach and the latest in technology and staff training to ensure that we remain sensitive to budgetary concerns while providing phenomenal client service. Once the audit is complete, we stay with you to continue providing industry expertise in the form of ongoing consulting and client education opportunities.


Audit Services:

As the independent auditors of several broker-dealers, we are able to conduct our audits very efficiently and cost effectively. This also allows us to complete the audit well in advance of SEC deadlines, which we believe is absolutely necessary in delivering our service.

Highlighted areas of service:

  • Audited financial statements in accordance with PCAOB standards
  • Internal control review procedures
  • SIPC review procedures
  • Net Capital Rules Compliance


Tax Services:

Our tax professionals at Summit LLC have significant experience in securities taxation and related complex issues.  We are able to advise clients on the timing and use of various tax elections peculiar to broker-dealers.

Highlighted areas of service:

  • Federal and State income tax preparation
  • Individual owner tax preparation
  • Tax planning and consulting


Other Services:

Summit LLC partners with several other experts in the broker-dealer industry to provide third-party independent services relating to:

  • Financial operations principal services
  • Organization and structure planning
  • Legal counsel advisory
  • Focus reporting and filing services