FNEX is a FINRA-member broker-dealer providing regulatory infrastructure, white-labelled branding, and broker-dealer compliance support for independent investment bankers, M&A advisors, and placement agents. Our tech-enabled platform helps you streamline deal execution, stay compliant with securities regulations, and scale your business with confidence.
Whether you are launching your own practice or transitioning from another broker-dealer, FNEX offers the speed, flexibility, and operational support you need to focus on what matters most — closing deals. We also help drive deal flow to new brokers, giving you early traction and access to live opportunities as you grow.
Frequently Asked Questions
Is FNEX a registered broker-dealer?
Yes. FNEX is a fully registered broker-dealer with FINRA and the SEC, licensed to support securities transactions across the United States.
Does FNEX sponsor licensing exams like the Series 82 or Series 7?
Yes. FNEX sponsors qualified professionals for the Series 82, Series 7 and Series 79 licensing exams. We support experienced M&A professionals, investment bankers, and placement agents in meeting licensing requirements for securities transactions.
Can I operate under my own brand while affiliated with FNEX?
Yes. FNEX offers a white-labeled broker-dealer solution that allows you to market your services under your own brand while leveraging our compliance infrastructure and operational platform.
What types of deals can I run through FNEX?
FNEX supports a broad range of private market transactions including M&A advisory, private placements, capital raising, and fund distribution across all sectors and verticals.
Does FNEX offer SEC Rule 15a-6 chaperone services?
Yes. FNEX provides 15a-6 chaperone services to foreign broker-dealers seeking access to U.S. institutional investors. This allows non-U.S. professionals to legally conduct securities business in the United States without SEC registration.
Are compliance and due diligence tools included?
Yes. FNEX provides end-to-end workflow tools to help you manage regulatory filings, document reviews, and transaction compliance.
How fast is onboarding?
FNEX offers a fast, digital onboarding process. Most professionals are fully operational within weeks, instead of months.
I am currently affiliated with another broker-dealer. Can I switch to FNEX?
Yes. FNEX facilitates a seamless transition from your current broker-dealer. We manage the end-to-end process, including reassignment of client agreements and regulatory documentation.
Does FNEX support international transactions?
Yes. FNEX supports cross-border transactions and global client engagements, subject to applicable regulations. Our 15a-6 framework ensures compliant access for foreign professionals working with U.S. investors.
Does FNEX offer a network of professionals for collaboration?
Yes. FNEX has a national and global network of over 120 affiliated investment bankers, placement agents, and M&A advisors. We actively encourage collaboration, deal referrals, and knowledge sharing across our professional community.
LEARN MORE ABOUT FNEX COMPLIANCE SERVICES
The FNEX Advantage for Investment Bankers & Placement Agents
Easy Onboarding
Get up and running in weeks with FNEX’s fast, digital-first onboarding, full document support, and white-glove setup—no business disruption.
Competitive Pricing
Our cost-effective pricing structure is designed to help you retain more of what you earn, whether you’re a boutique firm, independent banker, or fund distribution team.
Driving Deal Flow to New Brokers
Through our growing ecosystem and active pipeline, we help you drive new deal flow by giving you immediate traction and meaningful opportunities to engage in live transactions.
Technology-Driven Platform
Our tech automates back-office tasks, integrates CRM, tracks deals, and provides real-time reporting—so you can scale smart and stay lean.
A Global Network
Join a national and international community of investment bankers, placement agents, and capital markets professionals for collaboration and syndication.
Ready to Close More Deals with Confidence?
FNEX delivers a scalable broker-dealer solution for independent professionals seeking Series 7, Series 79, and Series 82 sponsorship, broker-dealer affiliation, 15a-6 chaperone services, and end-to-end regulatory support. As a FINRA-member broker-dealer, we help you stay compliant, operate efficiently, and grow your deal pipeline.
