Broker-Dealers

Broker-Dealers

Helping you meet your compliance needs—so you can focus on growing your business.

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Reduce Your Risk

Reduce Your Risk

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

National Practice Leader

Scott Urquhart
E-mail | 206-302-6355

Regional Contacts

Events

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