Since 1989, Ernst Wintter & Associates has been providing audit services to small and mid-sized non-public broker-dealers and firms newly approved by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
Our experience in auditing non-public broker-dealers allows us to conduct efficient and independent audits. Our professional staff consists of licensed CPAs with broker-dealer audit experience. We believe that this experience gives us an advantage and enables us to stay on top of the constant changes in the broker-dealer regulatory environment. For our broker-dealer clients, we know that meeting regulatory requirements, financial statement presentation and internal controls are important to you. Our goal is to provide you with the highest level of service and efficiency at a reasonable cost.
In
addition to our broker-dealer audit services, we
also provide the following services:
• Tax planning and consulting
• Tax return preparation and compliance
• Assistance with initial choice of entity
• Bookkeeping and accounting services
• Testing and structuring of internal controls
• Consulting on financial reporting and presentation
issues
Ernst
Wintter & Associates is registered with the
Public Company Accounting Oversight Board (PCAOB)
and is a member of the American Institute of
Certified Public Accountants and the California
Society of Certified Public Accountants.
Important
information regarding the PCAOB
The Securities and Exchange Commission (SEC) has ordered
that auditors of non-public broker-dealers be registered
with the Public Company Accounting Oversight Board
(PCAOB). The order is effective for broker-dealer fiscal
years ending after December 31, 2008.