Elevate Your Compliance with FNEX Compliance-as-a-Service
In a financial industry marked by increased regulation, niche specialization, and competitive deal-making, both placement agents and financial institutions are searching for flexible, compliant, and scalable ways to operate. The FNEX broker-dealer affiliation is a streamlined, regulatory-compliant pathway for professionals and firms looking to legally raise capital, expand reach, and grow operations without launching their own broker-dealer.
FNEX, a FINRA-member broker-dealer, offers broker-dealer sponsorship to independent placement agents and investment banking teams. Our comprehensive broker-dealer compliance services and proprietary tech-enabled back-office solutions provide the support you need to succeed in today’s dynamic financial landscape.
FNEX delivers a financial technology infrastructure and a turnkey AI-powered compliance solution through our DataBank platform. Our proprietary AI-powered platform gives independent investment banking teams, placement agents, and fund distributors the FINRA sponsorship, supervision, and turnkey broker-dealer infrastructure without the cost and complexity of building their own.
A Regulatory Partnership Built for Growth
A broker-dealer affiliation is a regulatory partnership that allows individuals or firms to operate under the license and supervision of a registered broker-dealer like FNEX, without having to go through the cost and complexity of creating their own. FNEX provides the infrastructure, compliance oversight, and deal support, while you focus on your clients and transactions.
This is especially valuable for:
- Placement agents involved in capital raising for funds, real estate, and private companies
- Financial institutions that want to enter or expand in U.S. securities markets
- Foreign firms seeking access to U.S. investors via SEC Rule 15a-6 chaperoning
Licensing & Compliance Requirements
Placement agents seeking a broker-dealer affiliation with FNEX will need to pass applicable FINRA exams, depending on their role, business model, and regulatory responsibilities. FNEX supports you throughout the onboarding and licensing process to ensure you’re fully compliant and ready to go.
General Securities Representative
Investment Banking Representative
Private Securities Offerings Representative
For a deeper dive into which FINRA license is right for you, check out our guide: A Guide to FINRA Licensing.
Why Partner with FNEX?
FNEX is a powerful partner for financial advisors and firms seeking a FINRA-registered broker-dealer affiliation, offering a range of services designed to streamline your compliance and transaction processes.
Accelerated Time to Market
Avoid the 18-24 month delay of starting your own broker-dealer. FNEX can get you operational in a matter of weeks, with an agile compliance platform that delivers high-speed, efficient turnaround on your mandates, closings, and money.
Efficient Cost Structure
A cost-efficient broker-dealer structure that helps you retain more of your revenue, with a pricing model designed to minimize overhead and maximize income potential.
Proprietary Tech-Enabled Solutions
Tech-driven back-office solutions that simplify compliance and transaction management, with advanced tools for reporting, analytics, and communication.
Cloud-Based Environment
An end-to-end centralized digital investment banking system that enables seamless access to vital tools and resources from anywhere, enhancing operational efficiency and providing real-time insights into transactions.
Robust Compliance Framework
A comprehensive framework tailored to independent banking and fund distribution teams, keeping you compliant with SEC and FINRA guidelines: regulatory filings with the SEC, FINRA, and 50 States and Territories, due diligence support, and ongoing training and resources.
Access to a Powerful Network
Leverage FNEX’s network of 160+ financial professionals and industry relationships to expand your reach and accelerate deal flow, connecting you with strategic partners to drive meaningful business growth.
Simplify Your Broker-Dealer Strategy with FNEX
Operate under your own brand and identity on a white label broker-dealer platform while leveraging FNEX’s FINRA registration, supervisory infrastructure, and compliance systems, with no need to establish or maintain your own broker-dealer entity.
Build Your Own Broker-Dealer
- Months to become operational
- Significant infrastructure and buildout costs
- Hire and manage compliance staff
- Complex regulatory filings and approvals
- Ongoing maintenance and overhead
Partner with FNEX
- Fast-track operational setup in weeks, in some cases days
- Leverage an existing FINRA platform
- Compliance, supervision and infrastructure included
- Series 7, 79, and 82 sponsorship and affiliation
- White-label solution — your brand, our backing
Our solution includes broker-dealer affiliation, Series 7, 79, and 82 sponsorship, Series 7 registration backup, and Series 82 affiliation, with full-service compliance coverage across all 50 U.S. states, territories, and international markets, including SEC Rule 15a-6 chaperoning services for foreign fund distributors and asset managers seeking access to U.S. investors.
What You Get with FNEX Compliance Service
A cost-effective and strategic relationship that gives you full-service back-office compliance and FINRA/SEC reporting.
- Email review on a monthly basis of all registered representatives
- Email archiving for all registered representatives with a FINRA-approved provider
- Diligence review of all engagement agreements, offering documents, and transaction-related documents
- AML/KYC processes on all investors in each transaction
- Continuing education monitoring for each registered representative
- Investment account monitoring for each registered representative
- Annual CE as required by FINRA
- Required broker-dealer reporting
Frequently Asked Questions
Partner with FNEX
If you’re a placement agent or institution ready to scale with confidence, compliance, and flexibility, FNEX is your broker-dealer partner. Contact us today to learn how our broker-dealer affiliation model can help you raise capital, serve clients, and grow.
Schedule a Consultation***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.
