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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Crowe 2025 TPRM Benchmark Study
Crowe 2025 TPRM Benchmark Study
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Crowe 2025 TPRM Benchmark Study
Crowe 2025 TPRM Benchmark Study
People, processes, and technology are critical components when optimizing third-party risk management programs. Crowe specialists offer insight.
Unveiling the Future of Risk and Compliance
2025 Financial Services Internal Audit Benchmarking Study
Our study reveals common gaps and opportunities to strengthen risk alignment, improve control maturity, and demonstrate the value of internal audit.
In this
2026 Future of Fintech: Payments, BaaS, and Blockchain
In this "Future of Fintech" webinar recording, Crowe specialists explore industry trends in AI, BaaS, and blockchain.

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
Nicholas Bennett
Nicholas Bennett
Partner, Audit & Assurance