Broker-dealers

Charge up your broker-dealer firm with 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.
Advisory services
Plan, analyze, and execute business combination strategies for comprehensive valuation and due diligence.
Tax services
Help increase efficiency, reduce risk, and achieve accuracy and timeliness in tax reporting.
Risk services
Improve compliance and risk management effectiveness with support from industry-specific specialists.
Performance services
Enhance the management of investment product compliance, investors, data, and performance with technologies designed for your industry. 
Audit services
Have confidence in the integrity of the financial data you report, as well as compliance with all regulatory requirements.
Advisory services
Plan, analyze, and execute business combination strategies for comprehensive valuation and due diligence.
Tax services
Help increase efficiency, reduce risk, and achieve accuracy and timeliness in tax reporting.
Risk services
Improve compliance and risk management effectiveness with support from industry-specific specialists.
Performance services
Enhance the management of investment product compliance, investors, data, and performance with technologies designed for your industry. 

Contact 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
Partner