Broker-Dealers & Investment Advisers
We help broker-dealers and investment advisers stay in compliance.
Love dealing with regulators? We didn’t think so. But ignoring their priorities has a real cost.
You didn’t get into this business to spend all your time on regulatory compliance. But it’s an area you can’t ignore… if you expect to stay in this business.
Regulators are focused on some very specific areas, and your firm would do well to pay attention.
As FINRA continues to press forward on their mission to protect investors, broker-dealers will see increased pressure in areas like fraud prevention, sales practices, protection of customer assets, and the integrity of firms’ financial data.
Smart investors could start to follow their lead.
Are you prepared to address these issues, while executing your market strategy in potentially volatile markets?
That’s what we’re here for.
We’ve been performing independent audit, tax, accounting and consulting services for broker-dealers, both self-clearing and fully disclosed, for decades.
From financial statements audits to complex transaction analysis and tax planning strategies, Kaufman Rossin can be your greatest resource.
We provide unique insight into current regulatory expectations so you can focus on your business and bottom line.
Our team includes former FINRA regulators who have led a broker-dealer’s anti-money-laundering (AML) exams and trained financial services professionals on numerous regulatory issues.
Do you need help evaluating your anti-money laundering compliance program? We help broker-dealers and investment advisors design, review and enhance their AML programs to mitigate risks.
Our forensic accountants are experienced in investigating complex money laundering and fraud schemes in North America, Central and South America and the Caribbean.
Are you maximizing profits and performance? Our business consulting services team can help you streamline processes and maximize the return on your IT investments.
We help broker-dealers and investment advisers comply with:
- Financial Industry Regulatory Authority (FINRA)
- Securities and Exchange Commission (SEC)
- DOL PTE 2020-02
- USA PATRIOT Act
- Bank Secrecy Act (BSA)
- Office of Foreign Assets Control (OFAC)
- Foreign Corrupt Practices Act (FCPA)
Our Professionals










Patricia Ordiz, CFE
Senior Manager, Assurance & Advisory Services
Miami
Patricia Ordiz is a Senior Manager in Kaufman Rossin’s Assurance Services practice. Patricia has a focused expertise in the financial services industry with regulatory risk solutions.
Maria Toledo, CPA, MST
Principal, International Tax
Miami
Maria helps domestic and foreign privately-held companies, closely-held businesses and high-net worth individuals navigate the tax compliance experience as they conduct business and acquire real estate in the U.S.
Jonathan Santana
Manager, Business Consulting Services
Miami
Jonathan is a manager in Kaufman Rossin's Business Consulting services practice. He assists businesses and individuals with financial due diligence and analysis of financial transactions across industries.
Cary Valdes-Perez
Senior Manager, Assurance & Advisory Services
Miami
Cary Valdes-Perez joined Kaufman Rossin in 2007 as an intern and is now a senior manager in the assurance and advisory services practice. She participates in consulting and audit engagements for clients ranging from start-ups to large companies in a variety of industries. Cary is an innovative young…
Andres Suarez, CPA
Senior Manager, Assurance & Advisory Services
Miami
Andres Suarez joined Kaufman Rossin in 2006 and is a senior manager in the firm’s assurance services department. He participates in audit and consulting engagements for clients in a variety of industries. He’s experienced in performing audits and advisory services to clients ranging from start-u…
Daniel Rosenberg, CISA, CPA
Director, Cybersecurity & Compliance
Boca Raton
Daniel Rosenberg is a director in Kaufman Rossin’s Risk Advisory Services practice, where he performs cybersecurity and compliance services.
Carlos A. Somoza, JD, LL.M.
Principal, International Tax
Miami
Carlos A. Somoza leads Kaufman Rossin’s international tax services practice. He has more than 25 years of experience in federal income, gift and estate taxation. He has served clients in the private and public industries, advising them in the areas of international taxation, estate planning, taxab…
Farrah Vincent
Manager, Risk Advisory Services
Miami
Farrah is a Manager in Kaufman Rossin's Risk Advisory Services practice, where she provides financial institutions with a variety of advisory services, including risk management, internal controls, regulatory compliance, and corporate governance.
Eduardo Silva, CPA
Senior Manager, Assurance & Advisory Services
Miami
Eduardo Silva is a senior manager in Kaufman Rossin's Assurance Services department, where he assists clients with complex audit and accounting matters across various industries, including broker-dealers, real estate, construction, and technology.
Nick P. Tootle, CPA
Principal, Financial Services Assurance and Consulting
Miami
Nick P. Tootle spearheads assurance and tax engagements for clients in various industries with a focus in the financial services field. His clients rely on his insights ranging from organizational structuring to compliance with accounting and regulatory rules. Nick advises clients across the in…










Patricia Ordiz, CFE
Senior Manager, Assurance & Advisory Services
Miami
Patricia Ordiz is a Senior Manager in Kaufman Rossin’s Assurance Services practice. Patricia has a focused expertise in the financial services industry with regulatory risk solutions.
Maria Toledo, CPA, MST
Principal, International Tax
Miami
Maria helps domestic and foreign privately-held companies, closely-held businesses and high-net worth individuals navigate the tax compliance experience as they conduct business and acquire real estate in the U.S.
Jonathan Santana
Manager, Business Consulting Services
Miami
Jonathan is a manager in Kaufman Rossin's Business Consulting services practice. He assists businesses and individuals with financial due diligence and analysis of financial transactions across industries.
Cary Valdes-Perez
Senior Manager, Assurance & Advisory Services
Miami
Cary Valdes-Perez joined Kaufman Rossin in 2007 as an intern and is now a senior manager in the assurance and advisory services practice. She participates in consulting and audit engagements for clients ranging from start-ups to large companies in a variety of industries. Cary is an innovative young…
Andres Suarez, CPA
Senior Manager, Assurance & Advisory Services
Miami
Andres Suarez joined Kaufman Rossin in 2006 and is a senior manager in the firm’s assurance services department. He participates in audit and consulting engagements for clients in a variety of industries. He’s experienced in performing audits and advisory services to clients ranging from start-u…
Daniel Rosenberg, CISA, CPA
Director, Cybersecurity & Compliance
Boca Raton
Daniel Rosenberg is a director in Kaufman Rossin’s Risk Advisory Services practice, where he performs cybersecurity and compliance services.
Carlos A. Somoza, JD, LL.M.
Principal, International Tax
Miami
Carlos A. Somoza leads Kaufman Rossin’s international tax services practice. He has more than 25 years of experience in federal income, gift and estate taxation. He has served clients in the private and public industries, advising them in the areas of international taxation, estate planning, taxab…
Farrah Vincent
Manager, Risk Advisory Services
Miami
Farrah is a Manager in Kaufman Rossin's Risk Advisory Services practice, where she provides financial institutions with a variety of advisory services, including risk management, internal controls, regulatory compliance, and corporate governance.
Eduardo Silva, CPA
Senior Manager, Assurance & Advisory Services
Miami
Eduardo Silva is a senior manager in Kaufman Rossin's Assurance Services department, where he assists clients with complex audit and accounting matters across various industries, including broker-dealers, real estate, construction, and technology.
Nick P. Tootle, CPA
Principal, Financial Services Assurance and Consulting
Miami
Nick P. Tootle spearheads assurance and tax engagements for clients in various industries with a focus in the financial services field. His clients rely on his insights ranging from organizational structuring to compliance with accounting and regulatory rules. Nick advises clients across the in…










Patricia Ordiz, CFE
Senior Manager, Assurance & Advisory Services
Miami
Patricia Ordiz is a Senior Manager in Kaufman Rossin’s Assurance Services practice. Patricia has a focused expertise in the financial services industry with regulatory risk solutions.
Maria Toledo, CPA, MST
Principal, International Tax
Miami
Maria helps domestic and foreign privately-held companies, closely-held businesses and high-net worth individuals navigate the tax compliance experience as they conduct business and acquire real estate in the U.S.
Jonathan Santana
Manager, Business Consulting Services
Miami
Jonathan is a manager in Kaufman Rossin's Business Consulting services practice. He assists businesses and individuals with financial due diligence and analysis of financial transactions across industries.
Cary Valdes-Perez
Senior Manager, Assurance & Advisory Services
Miami
Cary Valdes-Perez joined Kaufman Rossin in 2007 as an intern and is now a senior manager in the assurance and advisory services practice. She participates in consulting and audit engagements for clients ranging from start-ups to large companies in a variety of industries. Cary is an innovative young…
Andres Suarez, CPA
Senior Manager, Assurance & Advisory Services
Miami
Andres Suarez joined Kaufman Rossin in 2006 and is a senior manager in the firm’s assurance services department. He participates in audit and consulting engagements for clients in a variety of industries. He’s experienced in performing audits and advisory services to clients ranging from start-u…
Daniel Rosenberg, CISA, CPA
Director, Cybersecurity & Compliance
Boca Raton
Daniel Rosenberg is a director in Kaufman Rossin’s Risk Advisory Services practice, where he performs cybersecurity and compliance services.
Carlos A. Somoza, JD, LL.M.
Principal, International Tax
Miami
Carlos A. Somoza leads Kaufman Rossin’s international tax services practice. He has more than 25 years of experience in federal income, gift and estate taxation. He has served clients in the private and public industries, advising them in the areas of international taxation, estate planning, taxab…
Farrah Vincent
Manager, Risk Advisory Services
Miami
Farrah is a Manager in Kaufman Rossin's Risk Advisory Services practice, where she provides financial institutions with a variety of advisory services, including risk management, internal controls, regulatory compliance, and corporate governance.
Eduardo Silva, CPA
Senior Manager, Assurance & Advisory Services
Miami
Eduardo Silva is a senior manager in Kaufman Rossin's Assurance Services department, where he assists clients with complex audit and accounting matters across various industries, including broker-dealers, real estate, construction, and technology.
Nick P. Tootle, CPA
Principal, Financial Services Assurance and Consulting
Miami
Nick P. Tootle spearheads assurance and tax engagements for clients in various industries with a focus in the financial services field. His clients rely on his insights ranging from organizational structuring to compliance with accounting and regulatory rules. Nick advises clients across the in…










Patricia Ordiz, CFE
Senior Manager, Assurance & Advisory Services
Miami
Patricia Ordiz is a Senior Manager in Kaufman Rossin’s Assurance Services practice. Patricia has a focused expertise in the financial services industry with regulatory risk solutions.
Maria Toledo, CPA, MST
Principal, International Tax
Miami
Maria helps domestic and foreign privately-held companies, closely-held businesses and high-net worth individuals navigate the tax compliance experience as they conduct business and acquire real estate in the U.S.
Jonathan Santana
Manager, Business Consulting Services
Miami
Jonathan is a manager in Kaufman Rossin's Business Consulting services practice. He assists businesses and individuals with financial due diligence and analysis of financial transactions across industries.
Cary Valdes-Perez
Senior Manager, Assurance & Advisory Services
Miami
Cary Valdes-Perez joined Kaufman Rossin in 2007 as an intern and is now a senior manager in the assurance and advisory services practice. She participates in consulting and audit engagements for clients ranging from start-ups to large companies in a variety of industries. Cary is an innovative young…
Andres Suarez, CPA
Senior Manager, Assurance & Advisory Services
Miami
Andres Suarez joined Kaufman Rossin in 2006 and is a senior manager in the firm’s assurance services department. He participates in audit and consulting engagements for clients in a variety of industries. He’s experienced in performing audits and advisory services to clients ranging from start-u…
Daniel Rosenberg, CISA, CPA
Director, Cybersecurity & Compliance
Boca Raton
Daniel Rosenberg is a director in Kaufman Rossin’s Risk Advisory Services practice, where he performs cybersecurity and compliance services.
Carlos A. Somoza, JD, LL.M.
Principal, International Tax
Miami
Carlos A. Somoza leads Kaufman Rossin’s international tax services practice. He has more than 25 years of experience in federal income, gift and estate taxation. He has served clients in the private and public industries, advising them in the areas of international taxation, estate planning, taxab…
Farrah Vincent
Manager, Risk Advisory Services
Miami
Farrah is a Manager in Kaufman Rossin's Risk Advisory Services practice, where she provides financial institutions with a variety of advisory services, including risk management, internal controls, regulatory compliance, and corporate governance.
Eduardo Silva, CPA
Senior Manager, Assurance & Advisory Services
Miami
Eduardo Silva is a senior manager in Kaufman Rossin's Assurance Services department, where he assists clients with complex audit and accounting matters across various industries, including broker-dealers, real estate, construction, and technology.
Nick P. Tootle, CPA
Principal, Financial Services Assurance and Consulting
Miami
Nick P. Tootle spearheads assurance and tax engagements for clients in various industries with a focus in the financial services field. His clients rely on his insights ranging from organizational structuring to compliance with accounting and regulatory rules. Nick advises clients across the in…
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