Services for Securities Brokers & Dealers

With over 20 years of experience successfully guiding securities brokers and securities dealers through the labyrinth of tax and audit requirements, Richard F. Amsberry P.C. is certified to act as a licensing principal, ensuring you remain aware of any regulatory changes and meeting all compliance standards in a timely and cost effective manner.

Small to Medium Sized Enterprises

We believe that small and mid-sized enterprises are the economic engine of America. Therefore, it is fitting that the tax code is favorable to the formation and operation of these businesses. We ensure our clients gain every advantage offered by the tax laws and regulations.

We also believe that small and mid-sized business owners should enjoy the fruits of their labors. Too often, we see entrepreneurs working outrageously long hours for too little compensation. We show these owners how to better run their companies so that they may enjoy owning their businesses instead of becoming a slave to them.

Trust Tax Compliance

Over one hundred returns per year are outsourced to Richard F. Amsberry P.C. by financial institutions, allowing them to streamline their processes and refocus time and resources on reaching more aggressive goals.

 Other Services

Accounting/Bookkeeping Services – We can help with the daily, weekly or monthly bookkeeping needs of your business, from very basic data entry to monthly closings with financial statements. We can also assist with sales tax and payroll tax reporting. This service is tailored to your needs. We generally do this work on a flat, monthly fee basis. Monthly fees start at $250 per month, and depend on the number of transactions that occur each month.

Tax Planning and Compliance Services – From the preparation of simple individual income taxes to complex corporate and partnership returns, we do it all. Our roots are in the taxation area, and we love doing this work. Fees generally begin around $250, and are based on the time actually spent on the work. So you only pay for the time we are actually working on your project. We are happy to provide fee estimates before any work begins.

Management Consulting Services – We can work as your company’s Chief Financial Officer, or work with your company’s top management in a variety of ways – from measuring processes, developing new information systems, identifying cost savings, and enhancing revenue streams. The list could go on and on. We bring decades of management experience to help you tackle your company’s most challenging issues. Typically billed by the hour with fee estimates provided before any work begins.

Special Projects and Contract Work – Got a special project? Need an accounting temp? Need financial expertise your company doesn’t have in-house but don’t want to go through the trouble of hiring a temporary employee? Give us a call and describe your project, we have the expertise that can help you get the job done! Billed by the hour, with generous discounts given for large projects.

Broker Dealer Services – From seemly simple bookkeeping to acting as your firm’s Financial & Operations Principal (Series 27) FINOP, this is an area of compliance you’ve got to get just right. There is no forgiveness from the Regulators if you mess up. We can help keep you on track, make sure reports are filed with regulatory authorities on time, keep your books on the accrual basis, and respond to regulators’ inquiries, to name just a few things. Monthly bookkeeping fees begin at $400, FINOP fees at $700. Because each firm’s situation is unique, call us so we can discuss the particulars of your situation.

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