We’ve done the broker dealer financial and compliance due dilligence so you don’t have to.
At Henschen & Associates, we dig deep into a broker dealer’s financials and compliance history, to help you get a clear picture of the broker dealer’s situation and avoid being blindsided by added requirements and restrictions down the road.
Financial Due Diligence:
Revenue and revenue history: Is the broker dealer growing or in decline?
Net earnings: Does the broker dealer earn a consistent profit?
Net capital: Does the broker dealer have ample financial reserves to cover litigation not covered by E&O Insurance?
Indebtedness to net capital ratio: This ratio is an indicator to the amount of debt a broker dealer carries vs. their net capital and is a key indicator of financial health.
Let Henschen & Associates help you avoid unexpected surprises after joining a new broker dealer.