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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Two business professionals discuss customer onboarding while reviewing a tablet at a table, focusing on compliance insights.
Navigating the New CIP Requirements Exemption
The CIP requirements exemption allows greater flexibility for customer onboarding and compliance. A Crowe financial crime specialist offers insight.
June 2025 Financial Services Audit Committee Overview
June 2025 Financial Services Audit Committee Overview
Financial services audit committee members and leaders can view our webinar on financial reporting, regulatory, and industry developments.
Understanding Regulation E: Disputes and Provisional Credit
Understanding Regulation E: Disputes and Provisional Credit
This webinar recording offers an overview of Regulation E dispute resolution and provisional credit best practices.
Two business professionals discuss customer onboarding while reviewing a tablet at a table, focusing on compliance insights.
Navigating the New CIP Requirements Exemption
The CIP requirements exemption allows greater flexibility for customer onboarding and compliance. A Crowe financial crime specialist offers insight.
June 2025 Financial Services Audit Committee Overview
June 2025 Financial Services Audit Committee Overview
Financial services audit committee members and leaders can view our webinar on financial reporting, regulatory, and industry developments.
Understanding Regulation E: Disputes and Provisional Credit
Understanding Regulation E: Disputes and Provisional Credit
This webinar recording offers an overview of Regulation E dispute resolution and provisional credit best practices.

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