Elevate Your Compliance with FNEX Compliance-as-a-Service
Are you ready to take your independent investment banking or fund distribution team to the next level? FNEX Capital, a FINRA-member broker-dealer, offers broker-dealer sponsorship for independent placement agents and fund marketers. Our turnkey solutions include broker-dealer registration, ongoing compliance oversight, and a proprietary tech-enabled back-office platform, providing the foundation you need to thrive in today’s complex financial environment.
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.
Turnkey Broker-Dealer Registration & Compliance for:
- Investment Banking Teams seeking FINRA sponsorship without launching their own broker-dealer
- Asset Managers & Their Sales Personnel raising capital across U.S. markets
- Third-Party Marketing & Fund Wholesaling and Distribution Groups operating under private placement exemptions
- Fund Sponsors seeking scalable institutional infrastructure for ongoing deal activity
Why Partner with FNEX?
FINRA Licensure & Registration Made Simple
FNEX streamlines the registration process so you can get licensed quickly and compliantly. FNEX supports Series 7, Series 63, Series 79, and other applicable licenses depending on your role.
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
FNEX provides a comprehensive white-label broker-dealer compliance service built for placement agents and fund distribution professionals. We simplify the path to success by helping you avoid the tedious and time-consuming U.S. broker-dealer registration and licensing process, 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.
Register 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
License Through FNEX
- Fast-track operational setup in weeks, in some cases days
- Leverage an existing FINRA platform
- Compliance, supervision and infrastructure included
- Series 7, 63, and 79 sponsorship and registration support
- White-label solution — your brand, our backing
Instead of navigating the complexities of establishing and maintaining your own broker-dealer, our platform offers a cost-effective, turnkey solution, with comprehensive back-office compliance support and streamlined FINRA/SEC reporting, all at a fraction of the annual cost.
FNEX Broker-Dealer Compliance Services
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
Accelerate Your Growth with FNEX
Joining FNEX means gaining access to a platform built for high-performing professionals in alternative investments, capital markets, and fund distribution. Ready to obtain your FINRA licenses and scale your business with the backing of a reliable broker-dealer?
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.
