FINIQ 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, FINIQ 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 FINIQ a registered broker-dealer?
Yes. FINIQ is a
fully registered broker-dealer with FINRA and the SEC, licensed to support
securities transactions across the United States.
Does FINIQ sponsor licensing exams like the Series 82 or Series
7?
Yes. FINIQ 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
FINIQ?
Yes. FINIQ 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 FINIQ?
FINIQ
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 FINIQ offer SEC Rule 15a-6 chaperone services?
Yes.
FINIQ 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.
FINIQ provides end-to-end workflow tools to help you manage regulatory filings,
document reviews, and transaction compliance.
How fast is onboarding?
FINIQ 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
FINIQ?
Yes. FINIQ 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 FINIQ support international transactions?
Yes. FINIQ
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 FINIQ offer a network of professionals for
collaboration?
Yes. FINIQ 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 FINIQ Compliance Services
The FINIQ Advantage for Investment Bankers & Placement Agents
Easy Onboarding
Get up and running in weeks with FINIQ’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?
FINIQ 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.
