Financial Services Broker Dealers

Broker-dealers

Deep expertise, practical experience, and exceptional client service


Our audit, tax, and consulting professionals are committed to serving broker-dealers and delivering exceptional client service. Our broker dealer specialists have decades of experience and can help you quickly adapt to complex regulatory and business challenges. We offer efficient, pragmatic, and quality services and deep industry expertise.

Featured broker-dealer services


Audit services

Have confidence in the integrity of the financial data you report, as well as compliance with all regulatory requirements.

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Advisory services

Plan, analyze, and execute business combination strategies for comprehensive valuation and due diligence.

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Consulting services

With our deep industry knowledge, we provide specialized industry consulting services to help tackle the everyday challenges you face.

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Tax services

Help increase efficiency, reduce risk, and achieve accuracy and timeliness in tax reporting.

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Related insights


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June 2025 Financial Reporting, Governance, and Risk Management
June 2025 Financial Reporting, Governance, and Risk Management
Read about FDIC & NCUA Q1 industry results, FDIC reevaluation of bank merger transactions policy, Fed agenda, SEC focus change, and more.
3 Steps Audit Committees Can Take To Enhance Cybersecurity
3 Steps Audit Committees Can Take To Enhance Cybersecurity
See how audit committees can help strategically improve cybersecurity oversight to protect business interests amid rising digital threats.
Preparing To Become a BaaS Bank
Preparing To Become a BaaS Bank
This webinar recording provides tools and insights for banks to assess their organization’s readiness for BaaS integration.
June 2025 Financial Reporting, Governance, and Risk Management
June 2025 Financial Reporting, Governance, and Risk Management
Read about FDIC & NCUA Q1 industry results, FDIC reevaluation of bank merger transactions policy, Fed agenda, SEC focus change, and more.
3 Steps Audit Committees Can Take To Enhance Cybersecurity
3 Steps Audit Committees Can Take To Enhance Cybersecurity
See how audit committees can help strategically improve cybersecurity oversight to protect business interests amid rising digital threats.
Preparing To Become a BaaS Bank
Preparing To Become a BaaS Bank
This webinar recording provides tools and insights for banks to assess their organization’s readiness for BaaS integration.

Work with us


We combine broker-dealer and wealth management expertise with a commitment to client service and our industry’s strong professional standards. Contact us today.
Chris Johnson
Chris Johnson
Managing Partner, Capital Markets