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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December 2025 Financial Reporting, Governance, and Risk Management
December 2025 Financial Reporting, Governance, and Risk Management
FDIC rule adjusts and indexes regulatory asset thresholds; FDIC, OCC, and Fed propose changes to community bank leverage ratio; and more.
Analyst reviews charts and dashboards on dual monitors, illustrating AI model validation in financial crime risk analysis.
Exploring the Future of AI Validation: Trends and Tools 
In this webinar recording, Crowe specialists explore how to validate AI models for financial crime using risk frameworks.
Pedestrian crosses a financial district street at dawn, symbolizing regulatory change and strategic response to FDIC Part 363 updates.
Navigating FDIC Part 363 Changes
The FDIC’s new thresholds under Part 363 create regulatory relief but also require strategic recalibration. Crowe specialists offer insight.
December 2025 Financial Reporting, Governance, and Risk Management
December 2025 Financial Reporting, Governance, and Risk Management
FDIC rule adjusts and indexes regulatory asset thresholds; FDIC, OCC, and Fed propose changes to community bank leverage ratio; and more.
Analyst reviews charts and dashboards on dual monitors, illustrating AI model validation in financial crime risk analysis.
Exploring the Future of AI Validation: Trends and Tools 
In this webinar recording, Crowe specialists explore how to validate AI models for financial crime using risk frameworks.
Pedestrian crosses a financial district street at dawn, symbolizing regulatory change and strategic response to FDIC Part 363 updates.
Navigating FDIC Part 363 Changes
The FDIC’s new thresholds under Part 363 create regulatory relief but also require strategic recalibration. Crowe specialists offer insight.

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