Turnkey Broker-Dealer Infrastructure, Built on a Modern Platform
FNEX delivers a financial technology infrastructure and a turn-key AI-powered compliance solution with this 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.
Who This Service Is For
FNEX delivers turnkey broker-dealer registration and comprehensive broker-dealer compliance solutions for:
Independent Investment Banking Teams
Seeking FINRA sponsorship without establishing their own broker-dealer.
Asset Managers & Distribution Professionals
Who need regulatory infrastructure to raise capital across U.S. markets.
Placement Agents, Wholesalers & Third-Party Marketing Groups
Operating under private placement exemptions on a placement agent compliance platform.
Fund Sponsors & Asset Managers
Seeking scalable institutional infrastructure for ongoing deal activity.
Plus foreign broker-dealers and asset managers seeking SEC Rule 15a-6 chaperoning to access U.S. institutional investors.
Why Partner with FNEX?
A FINRA-registered broker-dealer affiliation designed to streamline your compliance and transaction processes.
Efficient Cost Structure
A cost-efficient broker-dealer structure that helps you retain more of your revenue while minimizing overhead.
Proprietary Tech-Enabled Solutions
AI-powered, tech-driven back-office solutions with advanced tools for reporting, analytics, and communication.
Fast-Track Operational Setup
Fast-track broker dealer operational setup gets your team live in weeks, in some cases days, on FNEX DataBank.
Robust Compliance Framework
A comprehensive framework 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, while maintaining full control of your client relationships, deal pipeline, and execution.
What FNEX Compliance-as-a-Service Provides
FNEX provides a cost-effective and strategic relationship for brokers, with the full infrastructure needed to operate without launching an independent broker-dealer.
- 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
- Registration with the SEC, FINRA, and all States and Territories
- Responsive compliance and broker-dealer support services
- Competitive and customized payout structures to maximize earning potential
- Strategic network of brokers to leverage for expanded distribution
- Proprietary technology for distribution, compliance, and reporting
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.
Frequently Asked Questions
Partner with FNEX
Ready to optimize your business with a trusted broker-dealer partner? Our team of compliance experts is committed to providing the support and resources you need to close more deals.
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.
