Brown Smith Wallace has an entire network of resources to provide specialized services and accounting, audit and tax solutions for the unique regulatory and operational complexities of the brokerage industry.  Our services safeguard broker-dealers and their clients from potential risks.

Read client testimonials here.

Our professional broker-dealer services team consists of dedicated, experienced professionals who understand your industry. Team members receive specialized training and education to stay current with the key issues and developments facing the broker-dealer industry, including financial reporting requirements, FOCUS reporting requirements, and general SEC/FINRA/PCAOB regulatory compliance.

In addition to the traditional audit and tax services provided, we also provide a broad range of industry specific support for this niche market. Our full-service audit approach minimizes regulatory reporting frustrations so you can focus on maximizing your returns and achieving your firm’s goals. With the expertise of our team, we provide support on a number of issues affecting broker-dealers including:

We currently provide a wide range of services to broker-dealers ranging from individual consultants to large publicly traded brokerage firms. We can help you navigate the ever changing rules facing your industry. Contact us to learn about the constructive and proactive suggestions we may have for your firm.