Broker dealers

The Adeptus Partners financial services group specializes in serving the needs of broker dealers. The broker-dealer industry has become increasingly complex as new rules and regulations have been issued to guard against illegal activities and regulate all brokers. Unfortunately, this affects all broker dealers, large and small. As a result, broker dealers have special needs which require the right caliber of support. Legislation now requires non public broker-dealers to use an audit firm registered with the Public Company Accounting Oversight Board (PCAOB) to conduct their audit. Adeptus Partners is registered with the PCAOB. Adeptus Partners has broker-dealer specialists who dedicate considerable resources to keep clients up-to-date on SEC and FINRA rules and regulations. We provide timely and valuable information which enables you to make informed decisions that put you in a position of strength.

Related Media

Would Your Broker Dealer Tell You to Sell Your Mutual Fund?

We’re closing out a rocky month for the stock market, which opened 2016 with its worst-ever start to a year…

“Because of that you might see some scary numbers when you check your portfolio. But it doesn’t mean you should react. Experts’ advice to long-term investors remains the same: Turn off the news and stick with your plan.

However, don’t interpret that as a recommendation to never change your holdings.” – USA Today

Here are five signs that it might be time to sell a mutual fund.

 

Professionals at Adeptus who Specialize
in the Broker Dealers Industry

Howard Krant, CPA, Founding Partner Adeptus Partners, Adeptus CPAs

Howard S. Krant

Managing & Founding Partner, CPA

Ryan J. Krant

Accountant & Advisor

Contact OUR PROFESSIONALS ABOUT THIS INDUSTRY

Adeptus Partners LLC