Raising capital and executing private placements today requires precision, licensing, and compliance that most firms simply don’t have in-house. Building your own broker-dealer can take years and cost hundreds of thousands of dollars.
Broker-dealer affiliation offers a faster, leaner, and fully compliant way forward.
What Broker-Dealer Affiliation Means
A broker-dealer affiliation allows qualified professionals to conduct securities transactions under a registered broker-dealer’s supervision.
With FNEX, you gain FINRA registration, Series sponsorship, and compliance oversight without the burden of forming a new entity.
You maintain ownership of your client relationships and brand while operating within FNEX’s fully licensed, tech-enabled infrastructure.
Who Benefits Most from FNEX Compliance Services:
- Independent investment bankers executing M&A or capital-raising mandates
- Placement agents distributing funds, private credit, or real-estate offerings
- RIAs and family offices adding a private-placement capability
- Foreign firms accessing U.S. investors through SEC Rule 15a-6 chaperoning
LEARN MORE ABOUT FNEX COMPLIANCE SERVICES
Why Affiliating Beats Building Your Own Broker-Dealer
| Factor | Starting a BD | Affiliating with FNEX |
| Cost | Approximately $250K to form and up to $1M+ annually to audit & maintain | Fraction of the cost |
| Timeline | 18–24 months for FINRA approval | Immediate-weeks to onboard |
| Staffing | Must hire supervisory principals and compliance staff | FNEX provides full supervision |
| Tech & Reporting | Must build systems | FNEX platform included |
| Focus | Admin & regulation | Deal flow & execution |
Licensing & Sponsorship
FNEX sponsors and manages all major FINRA licenses for qualified and currently practicing financial professionals, including:
- Series 7 – General Securities Representative
- Series 79 – Investment Banking Representative
- Series 82 – Private Securities Offerings Representative
Our compliance team guides you through exams, registration, and continuing-education tracking so you stay fully qualified.
For those new to the securities industry, the Securities Industry Essentials (SIE) exam is typically the first step. To help you prepare, you can explore this SIE Exam Prep Course, which includes study materials and exam preparation guides.
Technology-Driven Compliance Coverage
FNEX’s cloud-based compliance platform provides end-to-end automation for broker-dealer supervision, recordkeeping, and reporting. Designed for speed, transparency, and regulatory precision, it gives investment professionals the tools they need to stay compliant without slowing down deal flow.
Our integrated system manages:
- Engagement and offering-document reviews
- AML and KYC investor verification
- Email and communication archiving through FINRA-approved providers
- Supervisory sign-offs and ongoing monitoring
- Regulatory filings across SEC, FINRA, and state jurisdictions
- Diligence review of transaction documentation
- Investor suitability checks and continuing-education tracking
- Real-time dashboards for audit readiness and compliance reporting
Everything is secure and accessible anywhere, giving you complete oversight and confidence that every transaction meets regulatory standards.
Join a Proven Network
Affiliates become part of FNEX’s community of 140 investment professionals and gain access to shared deal flow, syndication opportunities, and institutional counterparties across private equity, private credit, venture, and real estate.
Partner with FNEX
FNEX combines regulatory strength, operational efficiency, and technology to help professionals scale faster. Operate independently, stay compliant, and grow with confidence under a trusted FINRA-member broker-dealer.
Schedule a consultation to learn how FNEX Broker-Dealer Affiliation can accelerate your success.
***Disclaimer: FNEX Capital does not provide interim or temporary sponsorship for the purpose of taking FINRA exams. Sponsorship is extended only to professionals and teams actively engaged in business under our broker-dealer platform.
