Become an Independent Banker with FNEX

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Independent Bankers

Become an Independent Banker with FNEX

Running your own deal practice should not mean running your own broker-dealer. FNEX Compliance-as-a-Service (CaaS) gives independent investment bankers, M&A advisors, and placement agents a FINRA-member home, full regulatory supervision, and a proprietary AI-powered DataBank platform, so you can focus on closing deals instead of managing compliance infrastructure.

FNEX delivers the financial technology infrastructure and a turnkey AI-powered compliance solution through DataBank. Independent bankers get the FINRA sponsorship, supervision, and back-office infrastructure they need, without the cost and complexity of building their own broker-dealer.

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$26B+
Transactions Completed
160+
Financial Professionals
50
States Coverage
Who This Is For

Built for Independent Dealmakers

FNEX gives independent bankers a regulated home to operate, market, and close deals under, including:

Independent Investment Bankers

Running their own deal practice without an in-house broker-dealer.

Boutique M&A Advisors

Executing sell-side and buy-side mandates that require broker-dealer registration.

Placement Agents

Raising capital for funds, real estate, and private companies under a Reg D framework.

Fund Distribution Professionals

Marketing offerings to institutional and accredited investors across the U.S.

Why FNEX

Keep Your Independence. Lose the Overhead.

FNEX Compliance-as-a-Service lets you operate as an independent banker while FNEX carries the regulatory weight.

Get to Market Fast

Avoid the 18-24 month delay of building your own broker-dealer. FNEX’s agile compliance platform can get you operational in a matter of weeks.

Keep More of What You Earn

A cost-efficient affiliation structure designed to minimize overhead, so more of every deal’s economics stay with you.

AI-Powered DataBank Platform

FNEX DataBank brings AI-powered RegTech to compliance monitoring, recordkeeping, and reporting, so less of your time goes to admin.

Operate Under Your Own Brand

White-label flexibility lets you market and close deals under your own name, with FNEX’s FINRA registration supporting it behind the scenes.

Full Regulatory Coverage

Registration with the SEC, FINRA, and 50 States and Territories, plus ongoing due diligence support and compliance training.

A Network That Refers Deals Back

Tap into FNEX’s network of 160+ financial professionals for peer referrals, co-sourcing, and deal flow beyond your own coverage.

The Math

Build Your Own Broker-Dealer or Become Independent with FNEX

Build Your Own Broker-Dealer

  • 18-24 months to become operational
  • Significant infrastructure and buildout costs
  • Hire and manage your own compliance staff
  • Complex regulatory filings and approvals
  • Ongoing maintenance and overhead

Become Independent with FNEX

  • Operational in weeks, not months
  • Leverage an existing FINRA-member platform
  • Compliance, supervision, and infrastructure included
  • Series 7, 79, and 82 sponsorship and affiliation
  • Operate under your own brand, backed by FNEX
What We Provide

What You Get as an Independent Banker on FNEX

Full-service back-office compliance and FINRA/SEC reporting, built into your affiliation.

FNEX FINRA broker-dealer compliance services for independent bankers
  • Series 7, 79, and 82 licensing and sponsorship support
  • Monthly email review and FINRA-approved email archiving
  • Diligence review of engagement agreements, offering documents, and transaction documents
  • AML/KYC processes on all investors in each transaction
  • Continuing education monitoring and annual CE tracking
  • Investment account monitoring for each registered representative
  • Required broker-dealer reporting to the SEC and FINRA
  • Access to FNEX DataBank’s AI-powered compliance and deal tools
FAQ

Frequently Asked Questions

Becoming an independent banker with FNEX means affiliating with FNEX, a FINRA-member broker-dealer, so you can operate your own deal practice under FNEX’s regulatory umbrella without building or registering your own broker-dealer.
No. Independent bankers, M&A advisors, and placement agents who solicit securities transactions are generally required to be registered with a broker-dealer, but affiliating with FNEX satisfies this requirement without the cost or timeline of independent registration.
FNEX’s agile compliance platform can get qualified bankers operational in a matter of weeks, compared to the 18 to 24 months typically required to register and launch an independent broker-dealer.
Depending on role and activity, independent bankers may need a Series 7 (General Securities Representative), Series 79 (Investment Banking Representative), or Series 82 (Private Securities Offerings Representative) license. FNEX supports sponsorship for each.
Yes. FNEX’s white-label model lets independent bankers operate, market, and close deals under their own brand and identity while FNEX provides the FINRA registration and compliance infrastructure behind the scenes.
FNEX DataBank is FNEX’s proprietary AI-powered platform that delivers financial technology infrastructure and a turnkey compliance solution, supporting independent bankers with automated compliance monitoring, recordkeeping, and reporting tools.
FNEX provides monthly email review and archiving, due diligence on engagement agreements and offering documents, AML/KYC processing, continuing education monitoring, investment account monitoring, and required broker-dealer reporting to the SEC and FINRA.
Yes. Independent bankers affiliated with FNEX can tap into a network of over 160 financial professionals for peer referrals, co-sourcing opportunities, and deal flow outside their own coverage area.

Take Your Practice Independent

Join a growing network of independent bankers backed by a FINRA-member broker-dealer and an AI-powered compliance platform. Ready to operate on your own terms, with FNEX behind you?

Schedule a Consultation

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