Broker-Dealer Compliance-as-a-Service for Independent Bankers.

Unlike traditional broker-dealers, FNEX combines turnkey broker-dealer infrastructure, an AI-powered compliance platform, and institutional deal connectivity in one integrated solution. Independent investment bankers gain access to FINRA sponsorship, regulatory supervision, streamlined back-office technology, and a network of 160+ financial professionals. With $26 Billion+ in transactions facilitated, FNEX provides the infrastructure, flexibility, and resources bankers need to maintain their independence, reduce operational burdens, and focus on originating deals, raising capital, and growing their businesses.

FNEX provides broker-dealer sponsorship, regulatory filings, AML oversight, and a turnkey compliance platform that allows boutiques to focus on growth instead of regulatory hurdles.

FINRA sponsorship means an independent professional or team operates under the regulatory umbrella of an existing FINRA-member broker-dealer. The sponsoring firm handles registration, supervision, and compliance infrastructure, allowing the sponsored team to conduct securities business without forming their own broker-dealer entity.

Yes, FNEX’s white-label broker-dealer platform allows boutique banks to maintain brand independence while gaining access to complete compliance supervision, regulatory tools, and operational infrastructure.

FNEX can help independent teams become operational in days. Fast onboarding reduces ramp time, accelerates revenue, and eliminates the delays common with traditional broker-dealer launches.

FNEX manages supervisory procedures, AML reviews, Form U4 filings, CE tracking, email and communications monitoring, advertising review, Reg D compliance, and transaction oversight. FNEX ensures firms operate within FINRA and SEC regulatory frameworks.

Reg D is an SEC exemption allowing companies to raise capital through private placements without full public registration. Compliance requires Form D filings, investor accreditation verification, and adherence to Rule 506(b) or 506(c) solicitation rules. FNEX manages Reg D compliance as part of its full-service broker-dealer platform.

Rule 15a-6 allows foreign broker-dealers to conduct limited activities with U.S. institutional investors, provided a registered U.S. broker-dealer chaperones those interactions. Foreign fund distributors and asset managers seeking access to U.S. investors typically require this service. Learn more about FNEX SEC Rule 15a-6 chaperoning services.

A white label broker-dealer platform lets your firm operate under its own brand while running on another firm’s FINRA registration, supervisory infrastructure, and compliance systems. FNEX provides turnkey broker dealer infrastructure so you gain full regulatory coverage without establishing or maintaining your own broker-dealer entity.

FNEX provides FINRA license sponsorship and registration support for Series 7, Series 63, Series 79, and Series 82, including Series 7 registration backup and Series 82 affiliation, for qualified professionals and teams actively engaged in business under our broker-dealer platform. FNEX Capital does not provide interim or temporary sponsorship for the purpose of taking FINRA exams. Learn more in our guide to FINRA licensing.

Yes. You originate and lead your mandates and maintain your client relationships, deal pipeline, and execution. FNEX provides the regulatory and operational infrastructure behind the engagement.

As a registered representative of FNEX Capital, your securities activity is supervised by FNEX. This typically includes submitting new engagements for review, routing marketing materials and communications through compliance, maintaining required books and records, and processing transaction compensation through the broker-dealer. The FNEX compliance team and platform keep these steps in one streamlined workflow.

FNEX offers competitive, customized payout structures based on your team, deal profile, and expected activity. Schedule a consultation to discuss terms for your practice.