White-Label Broker-Dealer Platform | FNEX

White-Label Broker-Dealer Platform Built for Investment Banks, Placement Agents & Asset Managers

FNEX White-Label Broker-Dealer lets investment banks, placement agents, and asset managers operate under their own brand while conducting securities business through FNEX Capital, LLC, a FINRA and SIPC member broker-dealer. Powered by FNEX DataBank, our AI-enabled RegTech platform provides FINRA sponsorship, compliance supervision, operational infrastructure, and back-office support, so you can focus on originating deals, raising capital, and serving clients without building your own broker-dealer.

FNEX White-Label Broker-Dealer is part of FNEX Compliance-as-a-Service, the FNEX platform for broker-dealer affiliation, FINRA sponsorship, and compliance infrastructure.

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$26B+
Transactions Completed
160+
Financial Professionals
50
States Coverage
FINRA
Member Broker-Dealer
Who We Help

Who Uses a White-Label Broker-Dealer

FNEX provides broker-dealer sponsorship, FINRA supervision, and AI-powered compliance infrastructure for independent financial professionals and private-market firms.

Boutique Investment Banks

Turnkey broker-dealer affiliation and compliance infrastructure for independent investment banking teams.

Explore Boutique Bank Solutions →

Independent M&A Advisors

FINRA sponsorship and regulatory supervision for qualified M&A advisors conducting securities-related transactions.

Explore M&A Advisor Solutions →

Capital Raisers & Placement Agents

Broker-dealer affiliation and private placement compliance for independent capital raisers, placement agents, and fund distributors.

Explore Capital Raising Solutions →

Fund Sponsors & Asset Managers

Scalable broker-dealer infrastructure supporting approved private fund distribution and ongoing capital-raising activities.

Explore Asset Manager Solutions →

Foreign Firms

SEC Rule 15a-6 chaperoning for foreign broker-dealers and asset managers seeking access to U.S. institutional investors.

Explore 15a-6 Chaperoning →
How White-Label Works

What Stays Under Your Brand and What FNEX Provides

In a white-label broker-dealer arrangement, your firm is what clients see, and FNEX Capital is the regulated broker-dealer behind the business.

Under Your Brand

  • Firm name and identityMarket your firm under its own name, logo, and website.
  • Client relationshipsOriginate, lead, and maintain your client and investor relationships.
  • Deal origination and executionRun mandates and capital raises with your own team and expertise.
  • Pricing and engagement termsSet your engagement approach with clients, subject to compliance review.

Provided Through FNEX Capital

  • FINRA registration and licensingForm U4 filings and Series 7, 63, 79, and 82 sponsorship.
  • Supervision and complianceSupervisory procedures, communications review, AML/KYC, and transaction oversight.
  • Books, records, and filingsRequired broker-dealer recordkeeping and regulatory filings.
  • Compensation processingTransaction-based compensation processed through FNEX under your payout agreement.

Branded communications must identify FNEX Capital, LLC as the broker-dealer of record, with required FINRA/SIPC disclosures.

Why FNEX

Why Firms Choose the FNEX White-Label Platform

A FINRA-registered broker-dealer platform that stays behind your brand while streamlining 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 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.

Getting Started

How to Launch on the FNEX White-Label Broker-Dealer

1

Schedule a Consultation

Review your firm, team, deal profile, and current registrations.

2

Register with FNEX Capital

FNEX files Form U4s and sponsors your team’s Series 7, 63, 79, or 82 registration.

3

Complete Onboarding

Get set up on FNEX DataBank, compliance workflows, and supervision with the FNEX team.

4

Operate and Close

Submit deals on FNEX DataBank with supervision and compliance from day one.

White-Label Solution

White-Label Broker-Dealer vs. Building Your Own

Operate under your own brand and identity 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

FNEX White-Label Broker-Dealer

  • Fast-track operational setup in days
  • Leverage an existing FINRA platform
  • Compliance, supervision and infrastructure included
  • Series 7, 63, 79, and 82 sponsorship and affiliation
  • White-label solution: your brand, our backing

Launch Your Brand on FNEX

Talk with our team about running your firm under your own brand on the FNEX White-Label Broker-Dealer platform.

Schedule a Consultation
FNEX Compliance-as-a-Service

Related Broker-Dealer Solutions

Overview

FNEX Compliance-as-a-Service

Turnkey broker-dealer infrastructure, FINRA sponsorship, supervision, and compliance for independent financial professionals.

Explore Compliance-as-a-Service →
Boutique Banks

Broker-Dealer for Boutique Investment Banks

Broker-dealer affiliation and compliance infrastructure for independent investment banking teams.

Explore Boutique Bank Solutions →
Placement Agents

Placement Agent Sponsorship

FINRA broker-dealer sponsorship for placement agents, fund wholesalers, and third-party marketing groups.

Explore Placement Agent Sponsorship →
FAQ

White-Label Broker-Dealer FAQs

A white-label broker-dealer arrangement lets a firm operate under its own brand while conducting securities business through another firm’s FINRA registration, supervisory infrastructure, and compliance systems. FNEX White-Label Broker-Dealer provides this through FNEX Capital, LLC, so firms gain full regulatory coverage without establishing or maintaining their own broker-dealer entity.
Your team registers as representatives of FNEX Capital, LLC and completes onboarding. You then market and serve clients under your own firm name, while FNEX provides supervision, compliance, recordkeeping, and transaction processing as the broker-dealer of record.
Your firm name, logo, website, client and investor relationships, deal origination, and team stay under your brand. FNEX Capital provides FINRA registration, supervision, compliance, books and records, and compensation processing behind the scenes.
Yes. You originate, lead, and maintain your client relationships. For regulatory purposes, securities transactions are conducted through FNEX Capital, LLC as the broker-dealer of record.
It suits boutique investment banks, independent M&A advisors, placement agents, third-party marketers, and fund sponsors that want to build their own brand without the cost and complexity of registering and running a broker-dealer.
Transaction-based compensation, such as success fees and placement fees, is paid to FNEX Capital as the broker-dealer of record and then paid out to your team under a customized payout agreement.
For most independent firms, yes. Building a broker-dealer requires a FINRA membership application, ongoing net capital, compliance and financial operations staff, and supervisory systems. A white-label arrangement with FNEX provides that infrastructure, with costs tied to a customized payout structure instead of fixed overhead.
FNEX manages supervisory procedures, AML reviews, Form U4 filings, CE tracking, email and communications monitoring, advertising review, Reg D compliance, and transaction oversight, supporting firms in operating within FINRA and SEC regulatory frameworks.
FNEX provides 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 actively doing business on the FNEX platform. FNEX Capital does not provide interim or temporary sponsorship for the purpose of taking FINRA exams.
FNEX can help firms become operational in days, depending on existing registrations and how quickly onboarding is completed.
Foreign broker-dealers and asset managers typically access U.S. institutional investors through FNEX Chaperone Services under SEC Rule 15a-6, without registering as a U.S. broker-dealer.

***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.

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