Capital markets work starts with evidence: reporting support, transaction files, SOX documentation, derivative tax records, and investor-ready schedules organized before a regulatory, lender, investor, tax, or transaction deadline.
This page is for companies, finance leaders, founders, active investors, and operators facing a concrete reporting event: a financing round, investor diligence request, lender package, SEC reporting project, SOX readiness push, derivative or futures tax question, or transaction record cleanup.
We start by mapping the records behind the deadline. That means trial balances, support schedules, equity ledgers, board or investor reporting, broker statements, Section 1256 detail, revenue and debt schedules, lease records, internal-control evidence, and prior auditor or diligence requests.
Audit and attest services for SEC issuers must be performed by qualified PCAOB-registered firms. KAS CPA's role is management-side CPA advisory: accounting cleanup, technical support, documentation, tax coordination, and investor-ready file preparation.
Management-side accounting and disclosure support for teams preparing SEC-facing records, lender packages, board reporting, or audit support files. We help organize the support before the review window gets compressed.
Tax and accounting record support for options, futures, swaps, structured products, hedging activity, and active-investor reporting where the broker statement is only the beginning of the workpaper.
Pre-transaction accounting support for companies preparing for outside capital, diligence, acquisition discussions, or a more formal reporting environment.
CPA support where capital markets questions overlap with founder tax, equity compensation, 83(b) elections, QSBS posture, grants, SAFEs, option exercises, and investor updates.
Kurt brings an extensive background in regulated markets, including successfully passing the Series 65 securities examination. This level of market fluency is rarely found in a CPA firm, and it informs the technical depth behind every capital markets engagement.
Verify on FINRA BrokerCheck →Capital markets advice needs boundaries and records discipline. We use regulator and tax-source material to separate management-side CPA support from audit, broker-dealer, investment-adviser, or legal work that belongs with the right licensed professional.
Short answer: Kurt Simmons CPA provides management-side capital markets CPA support for reporting records, SOX readiness, investor diligence, transaction planning, derivative tax records, and accounting cleanup tied to growth or liquidity events.
Schedule a consultation to review the reporting deadline, records, source documents, and advisory boundary before the capital markets issue turns into a scramble.
Tax strategy, capital markets insight, and planning moves — straight from Kurt's desk, monthly.