Capabilities:
Broker/Dealer Practice
Audit, tax, and advisory built for broker-dealers.
Cathedral serves SEC-registered broker-dealers — carrying, introducing, M&A advisory, and crypto-adjacent firms — with a partner- and director-staffed model. Our practice leaders previously ran broker- dealer audits at top-15 national firms and now deliver the same technical depth with faster turnarounds, direct senior access, and predictable fixed fees. No handoffs. No surprises. No first-year learning curve.
Smart Solutions, Built for You
-
PCAOB-aligned engagements built around SEC reporting deadlines.
-
Financial statement audits under SEC Rule 17a-5
-
ICOC compliance audits for carrying firms
-
Exemption report reviews for non-carrying
firms
-
Net capital & FOCUS report support
-
15c3-3 reserve computation procedures
-
Quarterly security counts & account
statements rule
-
-
Federal, multi-state, and partner-level planning for BD entities and their owners.
- Federal & state income tax preparation & planning
- Partnership / LLC structuring & K-1 preparation
- S-corp, C-corp, and individual returns for principals
- Multi-state apportionment & nexus analysis
- 1099 / W-9 reporting & year-end compliance
- Commercial Rent Tax & Gross Receipts filings
- Compensation, deferred comp & RSU tax coordination
-
Risk, compliance, and finance support across the BD operating model.
- AML / BSA program reviews & independent testing
- SOC 1 & SOC 2 readiness and reporting
- Penetration testing & cybersecurity assessments
- Business valuation — 409A, M&A, gift & estate, financial reporting
- Outsourced accounting, controller & CFO support
- Weekly net capital & cash visibility reporting
- Process, technology & AI workflow improvement
Our process, From Start to Success
Our Capabilities
Unlock the Full Scope of Our Expertise
Technical Accounting & Financial Reporting
From audit readiness and support, to SEC reporting, to operationalizing accounting standards, and to accounting for complex transactions, our team will provide solutions to help ensure accuracy, transparency, and compliance with GAAP and SEC requirements.
Operational Accounting
From management accounting and internal reporting, to interim resource and close support , and to project-specific support, our team will integrate into your organization to help drive operational efficiencies and effectiveness.
Strategic Finance & Analytics
From planning, budgeting, and forecasting, and to interim resource executive support, our team will partner with you to generate reports and provide an executive presence that will lead to strategic decision-making.
Internal Controls
From a maturity assessment, to audit readiness, and to attestation engagements, our team will help you understand your control environment and provide solutions to ensure the proper processes and controls are in place.
Information Technology
From IT internal audit services, to readiness assessments, to compliance, and to cybersecurity, our team will help improve your processes and programs to ensure best practices are in place.
Let’s Start the Conversation
Share your information and we will reach out to discuss how we can help.
TESTIMONIALS we are valued partners in our clients' journeys
Schedule your personalized consultation today.
Solutions redefined.
