Industries We Serve

Brokers/Dealers

Topel Forman provides audit, tax and consulting services to proprietary trading firms, investment banking firms, introducing and other non-carrying broker-dealers.

Every broker-dealer faces a unique set of challenges, including revenue recognition, fair value measurement, SEC and FINRA filing requirements, regulatory compliance and more. Our clients look to Topel Forman not only to benefit from our extensive experience solving tough audit and tax issues, but also for the personal attention we provide.

Beyond performing the annual broker-dealer compliance requirements, we proactively work with you throughout the year to understand where your business is, where you want it to go, and how we can tailor our services to help you achieve your goals. In addition to the client relationship manager, we strive to provide accessibility to anyone on the Topel Forman team who has the experience you need to address any particular issue. We pride ourselves on providing our clients with a proactive and highly personalized client service experience.

Topel Forman is registered with the Public Company Accounting Oversight Board (PCAOB).

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