Westcott & Associates, Ltd. provides valuable services concerning the establishment of broker-dealers and ongoing compliance. Our availability can prove to be both time efficient and cost effective.

Westcott & Associates has guided more than 100 broker-dealers through the comprehensive registration process, including everything from assembling the required books and records, training new principals and corporate officers, and preparing for the NASD membership interview.

Once a broker-dealer has been granted approval, Westcott & Associates, Ltd. continues to service the firm's needs by preparing monthly financials and written supervisory procedures.

Westcott and Associates, Ltd. works with CPA firms during annual audits. Dora Westcott, President of Westcott and Associates, Ltd. also instructs CPA staff in broker/dealer regulatory compliance procedures.

Additionally, Westcott and Associates, Ltd. assists firms that have undergone regulatory examinations to implement corrective measures, eliminate future regulatory problems, and reduce the risk of disciplinary action while at the same time affording a degree of protection from adverse situations.