Helping you meet your compliance needs—so you can focus on growing your business.
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 your challenges, reduce your risk, and reach your objectives.
From providing timely and cost-effective audits to advising on all areas of taxation to consulting on SEC financial reporting requirements, we offer key insights and in-depth services to all varieties of broker-dealers, including self-clearing and fully disclosed brokerage firms.
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. Read our most recent PCAOB inspection report.
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