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.

Explore audit services

Advisory services

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

Explore advisory services

Consulting services

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

Explore consulting services

Tax services

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

Explore tax services

Related insights


loading gif
Top Risks Areas for Internal Audit: Financial Services
Top Risks Areas for Internal Audit: Financial Services
Crowe specialists explain risks for internal audit in financial services organizations and detail how to strengthen compliance and risk management.
Two professionals review information on a tablet, illustrating collaborative AML advisory in financial services.
Enhance AML Program Strength With a Managed Services Model
Financial services organizations can achieve scalable AML compliance and operational resilience with a managed services model built on expertise.
FASB Issues Hedge Accounting Improvements
FASB Issues Hedge Accounting Improvements
ASU 2025-09 advances targeted improvements to hedge accounting that better align entities’ financial reporting with their risk management strategies.
Top Risks Areas for Internal Audit: Financial Services
Top Risks Areas for Internal Audit: Financial Services
Crowe specialists explain risks for internal audit in financial services organizations and detail how to strengthen compliance and risk management.
Two professionals review information on a tablet, illustrating collaborative AML advisory in financial services.
Enhance AML Program Strength With a Managed Services Model
Financial services organizations can achieve scalable AML compliance and operational resilience with a managed services model built on expertise.
FASB Issues Hedge Accounting Improvements
FASB Issues Hedge Accounting Improvements
ASU 2025-09 advances targeted improvements to hedge accounting that better align entities’ financial reporting with their risk management strategies.

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