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.

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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 professionals review data on a laptop and tablet, representing model risk governance and oversight for investment managers.
Model Risk Management in Investment Management
Investment managers must implement model risk governance frameworks to identify, assess, and mitigate model risk. Crowe specialists offer insight.
March 2026 Financial Reporting, Governance, and Risk Management
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FDIC and NCUA publish Q4 25 results, banking agencies focus on regulatory burden reduction, SEC and CFTC announce MOU on coordination, and more.
Professionals review documents and laptops in a meeting, representing change management for financial crime program transformation.
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In this webinar recording, Crowe specialists explore how organizational change management can support financial crime program transformation.
Two professionals review data on a laptop and tablet, representing model risk governance and oversight for investment managers.
Model Risk Management in Investment Management
Investment managers must implement model risk governance frameworks to identify, assess, and mitigate model risk. Crowe specialists offer insight.
March 2026 Financial Reporting, Governance, and Risk Management
March 2026 Financial Reporting, Governance, and Risk Management
FDIC and NCUA publish Q4 25 results, banking agencies focus on regulatory burden reduction, SEC and CFTC announce MOU on coordination, and more.
Professionals review documents and laptops in a meeting, representing change management for financial crime program transformation.
How OCM Shapes Financial Crime Program Transformation
In this webinar recording, Crowe specialists explore how organizational change management can support financial crime program transformation.

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