Broker-Dealers

In a fast-moving yet highly regulated financial services industry, broker-dealers face unique challenges, especially when it comes to compliance and taxation. But complexity shouldn’t stand in the way of opportunity. Moss Adams can help you overcome those challenges, reduce risk, and reach your objectives.

From providing timely and cost-effective audits to advising on all areas of taxation and consulting on SEC financial reporting requirements, we offer key insights and in-depth services that help all varieties of broker-dealers stay ahead of the competition. We serve brokers ranging from captive brokers with minimal support staff to full-service broker-dealers with hundreds of professionals and are currently ranked 15th nationally in number of broker-dealers served. Whatever the nature and size of your firm, our team can provide a solution tailored to your needs.

Moss Adams is registered with the Public Company Accounting Oversight Board (PCAOB), which oversees audit services provided by CPA firms to SEC issuers and broker-dealers.

Who We Serve

• Self-clearing and fully disclosed broker-dealers
• Firms dually registered as broker-dealers and investment advisors
• Institutional and retail broker-dealers
• Investment bankers and private placement agents
• Over-the-counter market makers and retailers