Broker-Dealers

Uniquely Qualified to Support the Broker-Dealer Industry

The broker-dealer industry continues to evolve at an increase pace from technology developments to changing customer habits and relationships to increasing regulatory requirements and oversight. It is more important than ever to ensure that firms are supported by professionals who understand the industry implications of these challenges and can help provide value-added solutions. Crowe Horwath LLP offers broker-dealer and wealth management expertise and competencies, buoyed by a deep commitment to the highest client service standards.

How Crowe Can Help

Crowe helps broker-dealers address the formidable challenges of balancing risk and return. We provide a full range of services designed to help deal with the demands of stakeholders and the critical issues organizations manage.

Crowe has a long track record of providing comprehensive assurance services and solutions to the broker-dealer industry and decades of experience within the financial services sector. Our team provides an ongoing open forum, structured to identify emerging issues, technical accounting for transactions, and changes within the industry, to help maintain a “no surprises” approach. We incorporate innovative technologies to enhance audit efficiency, facilitate communication, and reduce workflow disruptions.

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Crowe specialists help broker-dealer organizations plan, analyze, and execute business combination strategies, providing comprehensive valuation and due diligence services. Our fully integrated approach can help you address a range of specialized issues including financial reporting, incentive compensation, and calculating claims for business interruptions. Crowe also can help:

  • Identify deal breakers and key risk areas
  • Reveal opportunities for improving profits
  • Develop an optimal transaction structure
  • Ease the integration of acquisitions

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Crowe tax specialists can help your broker-dealer increase efficiency, reduce risk, and achieve accuracy and timeliness in tax accounting and reporting. Beyond meeting these essential requirements, we focus on helping you reduce your overall effective tax rate through comprehensive tax planning strategies.

In addition to federal, state, and foreign tax compliance and tax provision calculations, the Crowe tax team can manage other complex and highly specialized tax issues such as:

Our experienced tax specialists understand the challenges of today’s evolving regulatory environment and provide broad and in-depth technical tax knowledge to help your broker-dealer stay compliant – and competitive.

By evaluating the risks specific to the broker-dealer industry, whether they are internal or external, as well as those unique to your organization, Crowe delivers solutions that may contribute to:

  • Improved risk management effectiveness
  • Increased compliance with SEC and other federal and state laws and rules
  • Increased confidence of regulators and stakeholders
  • Reduced capital costs

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Our experienced performance consultants can design and install customized technology to help your firm improve your management of investments, investors, data, and organizational performance. By focusing on industry insights and using our expertise in expense benchmarking, customer relationship management, data integration, analysis and warehousing, and performance improvement, Crowe helps broker-dealers seeking operational excellence.

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Chris Johnson