Financial Services

The financial services industry has become increasingly complex. New financial instruments, technology, globalization, and tightening regulations have created new challenges and risks. We have developed expertise in the financial services industry by serving a large group of clients.

These clients include:

  • Investment advisory firms
  • Investment banking firms
  • Broker-dealers
  • Mortgage banking firms
  • Common trust funds
  • Collective investment funds
  • Insurance brokers/agents

Our involvement with certain professional organizations and educational seminars keeps us abreast of the current issues affecting the financial services industry and allows us to offer you a high level of expertise without the fees required to support the overhead of a national firm.

In addition to the traditional assurance and tax compliance services, we provide a wide range of services that are important to financial service companies and their owners. These services include:

Formation
  • Choice and structure of entity
  • Review of operating and buy-sell agreements
Operations
  • Admitting new partners or shareholders
  • Redemption or buy-out of partners and shareholders
  • Employee incentive compensation
Business Succession Plan / Exit Strategy
  • Review of purchase and sale agreements and negotiation of terms
  • Assistance with due diligence
  • Estate tax planning and administration
  • Valuation of company
Compliance
  • SOC reports
  • HUD lender reporting
  • NASD/SEC reporting
  • USAP (Uniform Single Attestation Program for mortgage bankers)

For more information on how we can assist your company, please contact Sandi Thorman.

Key Partners & Associates

Sandi O. Thorman, CPA, Partner

> Call 704-377-0239

> Email

> Download vCard

> Visit bio page