FINRA Sponsorship and Affiliation
FNEX provides broker-dealer affiliation and licensing sponsorship for qualified capital raisers, including Series 7, Series 79, and Series 82 sponsorship where appropriate for approved securities activities.
Capital Raising Broker-Dealer Affiliation
FNEX provides broker-dealer affiliation, FINRA sponsorship, and private placement compliance infrastructure for qualified independent capital raisers, placement agents, and private securities professionals. Our AI-powered compliance platform helps you focus on investor relationships, sourcing opportunities, and executing approved capital-raising transactions.
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$26B+
Transactions Completed
160+
Financial Professionals
50
State Coverage
FINRA
Member Broker-Dealer
Broker-Dealer Solutions for Capital Raisers
Broker-Dealer Sponsorship for Independent Capital Raising Professionals
Independent capital raisers work with private companies, investment funds, and institutional sponsors to identify investors and facilitate private securities offerings. Activities such as soliciting investors, participating in securities transactions, and receiving transaction-based compensation can involve broker-dealer registration requirements.
FNEX provides qualified capital-raising professionals with an established broker-dealer affiliation model. Rather than forming their own broker-dealer, eligible professionals can conduct approved securities activities through FNEX’s FINRA-member broker-dealer framework, subject to applicable registration, supervision, and approval.
FNEX Compliance-as-a-Service combines FINRA licensing sponsorship, private placement supervision, regulatory compliance, recordkeeping, and AI-powered technology. This enables independent capital raisers to devote more time to originating opportunities, developing investor relationships, and executing transactions.
FNEX Compliance-as-a-Service:
Turnkey broker-dealer affiliation,
FINRA supervision, and AI-powered
compliance technology for qualified
private placement and capital-raising
professionals.
Explore FNEX Compliance Services
.
The FNEX Advantage
Turnkey Broker-Dealer Infrastructure for Independent Capital Raisers
Private Placement Compliance
Access compliance supervision and regulatory support for approved private placements, investor communications, offering documentation, recordkeeping, and securities-related capital-raising activities.
AI-Powered Compliance Platform
FNEX combines AI-powered compliance technology with its proprietary FNEX DataBank platform to support regulatory workflows, reporting, recordkeeping, and operational efficiency.
Professional Network and Deal Connectivity
Connect with FNEX’s network of 160+ financial professionals to explore potential investor introductions, private placement opportunities, and collaboration while continuing to build your own business.
Your Options
Building Your Own Broker-Dealer vs. Affiliating with FNEX
Building Your Own Broker-Dealer
Establish and maintain FINRA membership, compliance staffing, supervisory systems, regulatory filings, recordkeeping, and ongoing broker-dealer operational responsibilities.
Affiliating with FNEX
FNEX provides turnkey broker-dealer infrastructure, FINRA supervision, and AI-powered compliance technology, backed by a network of 160+ financial professionals to help expand deal opportunities while you focus on growing your business.
Learn more about the modern alternative to building your own broker-dealer and FINRA Series 7, 79, and 82 licensing .
Focus on Raising Capital and Building Relationships
Grow your capital-raising practice, develop investor relationships, and pursue private placement opportunities while FNEX provides the regulatory infrastructure for approved securities activities.
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Frequently Asked Questions
Capital Raising Broker-Dealer Affiliation FAQs
How does FNEX support independent capital raisers?
FNEX provides broker-dealer affiliation, FINRA sponsorship, private placement compliance supervision, and AI-powered compliance technology for qualified capital-raising professionals conducting approved securities activities.
Can independent capital raisers maintain their own brand?
FNEX offers white-label affiliation options for eligible professionals. Branding, communications, and securities activities are subject to FNEX approval and supervision.
Which FINRA licenses are relevant for private placement professionals?
Series 82 is associated with private securities offerings, while Series 7 or Series 79 may be appropriate for other securities or investment banking activities. Required registrations depend on the professional’s role and approved business.
Does FNEX provide compliance support for private placements?
Yes. FNEX provides supervisory and compliance infrastructure for approved private placement activities, including applicable offering documentation review, communications supervision, recordkeeping, and regulatory processes.
Can capital raisers access deal opportunities through FNEX?
FNEX’s network of financial professionals and industry relationships may support relevant introductions, potential private placement opportunities, and professional collaboration, subject to applicable approvals.
How can I affiliate with FNEX as an independent capital raiser?
Contact FNEX to discuss your capital-raising activities, existing FINRA registrations, transaction experience, and proposed business model. FNEX can evaluate eligibility and explain its affiliation and onboarding process.
Explore More FNEX Solutions
More Ways FNEX Supports Private Markets
Beyond broker-dealer affiliation, FNEX provides specialized solutions for private-market transactions and private fund advisory compliance.
FNEX Pre-IPO Market
FNEX’s institutional Pre-IPO Market connects qualified financial professionals with secondary market opportunities, verified bids and offers, and proprietary pricing data for late-stage private companies.
Explore the FNEX Pre-IPO Market →RIA for Private Funds & SPVs
FNEX Advisors provides registered investment adviser services and compliance support for qualifying private funds and special purpose vehicles, helping fund managers address applicable advisory oversight requirements.
Explore RIA Compliance Services →
