Elevate Your Compliance with FINIQ Broker-Dealer Services
Are you ready to take your independent banking or fund distribution team to the next level? FINIQ, a FINRA-member broker-dealer is actively recruiting independent banking and fund distribution teams who are ready to partner with a leader in compliance and investment banking. Our comprehensive broker-dealer compliance services and proprietary tech-enabled back-office solutions provide the support you need to succeed in today’s dynamic financial landscape.
FINIQ Capital delivers turnkey broker-dealer registration and comprehensive
broker-dealer compliance solutions for:
● Independent Investment
Banking Teams
● Asset Managers and Their Distribution
Professionals
● Placement Agents, Fund Wholesalers,
and Third-Party Marketing Groups
● Fund Sponsors
Seeking Scalable Institutional Infrastructure
Why Partner with FINIQ?
FINIQ is a powerful partner for financial advisors and firms seeking a FINRA-registered broker-dealer affiliation, offering a range of services designed to streamline your compliance and transaction processes. Here’s what makes FINIQ the right choice for your team:
Efficient Cost Structure
FINIQ offers a cost-efficient broker-dealer structure that helps you retain more of your revenue. Our pricing model is designed to minimize overhead and maximize income potential.
Proprietary Tech-Enabled Solutions
Our tech-driven back-office solutions simplify compliance and transaction management, allowing you to focus on serving your clients. Our platform includes advanced tools for reporting, analytics, and communication, ensuring seamless workflows.
Cloud-Based Environment
With our cloud-based platform, you benefit from an end-to-end centralized digital investment banking system. This technology enables seamless access to vital tools and resources from anywhere, enhancing your operational efficiency and providing real-time insights into transactions.
Robust Compliance Framework
FINIQ provides a comprehensive compliance framework tailored to the needs of independent banking and fund distribution teams. We ensure you stay compliant with all regulatory requirements, including SEC and FINRA guidelines. Our compliance services include:
- Regulatory Filings: We handle all necessary filings to ensure adherence to regulations. This includes registration with the SEC, FINRA, and 50 States and Territories.
- Due Diligence Support: Our team conducts thorough due diligence to mitigate risks and enhance transaction success.
- Training and Resources: We offer ongoing training for your team to ensure compliance knowledge is current and applicable.
Access to a Powerful Network
Leverage FINIQ’s network of 130+ financial professionals and industry relationships to expand your reach and accelerate deal flow. Our platform connects you with strategic partners to drive meaningful business growth.
You maintain full control of your client relationships, deal pipeline, and execution, while operating with the regulatory support and infrastructure of a trusted broker-dealer.
Simplify Your Broker-Dealer Strategy with FINIQ
FINIQ provides a comprehensive white-label broker-dealer compliance service tailored for firms seeking to streamline their regulatory operations while maintaining full focus on business development and growth. We simplify the path to success by helping you avoid the tedious and time-consuming U.S. broker-dealer registration and licensing process. Our solution includes broker dealer affiliation, Series 7, 79, and 82 sponsorship, and 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.
Instead of navigating the complexities of establishing and maintaining your own broker-dealer, our platform offers a cost-effective, turnkey solution. Gain access to comprehensive broker-dealer compliance solutions, FINRA compliance services, and streamlined FINRA/SEC reporting — all at a fraction of the annual cost.
Partner with FINIQ
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. We help you navigate complex regulatory landscapes and implement best practices for compliance.
