For many investment professionals, owning a broker-dealer sounds like the ultimate step toward independence. But the reality is often different.
Compliance obligations, rising legal fees, and back-office distractions can stall growth and drain resources long before your business gains traction.
Maintaining your own broker-dealer can cost upwards of $500,000 a year in legal, audit, supervision, and technology overhead. The operational complexity and regulatory exposure often outweigh the benefits.
That’s why more independent investment bankers, capital raising teams, and
M&A advisors are turning to FINIQ’s
white-label broker-dealer platform—a faster, lower-cost way
to operate under your own brand without bearing the full compliance
burden.
What Is a White-Label Broker-Dealer?
A white-label broker-dealer allows you to run your business under your own name and brand while leveraging the infrastructure, regulatory licensing, and compliance oversight of an existing FINRA-member firm.
With FINIQ, you get immediate access to a fully operational broker-dealer platform without the cost, liability, and administrative hurdles of going it alone.
The FINIQ Advantage
FINIQ is a FINRA-member broker-dealer and fintech-enabled investment bank that has completed more than $15 billion in private market transactions. Our white-label platform is designed specifically for professionals who want control of their business, with the strength of institutional-grade infrastructure behind them.
When you partner with FINIQ, you’re not just accessing compliance and technology, you’re joining a network of over 130 investment bankers and financial professionals globally. This connectivity opens the door to collaborative deal flow, referral opportunities, and strategic capital introductions that accelerate your growth.
Here’s what sets FINIQ apart:
- Operate Under Your Own Brand
Take full ownership of your reputation. FINIQ provides the regulatory backbone—licensing, supervision, and execution, so you can lead from the front with your name on the platform.
- Full-Service Compliance Coverage
From U4 registration and marketing review to AML/KYC and trade supervision, our team ensures your business remains fully compliant—without slowing you down.
- Technology-Enabled Operations
Our proprietary tech stack simplifies document management, investor communications, and regulatory tracking, giving you more time to focus on deal flow and client relationships.
- Speed to Market
Launching your own BD can take 18–24 months. With FINIQ, you can be operating in as little as a few weeks—with everything in place.
LEARN MORE ABOUT FINIQ Compliance Services
Who We Serve
FINIQ’s white-label broker-dealer platform is used by a range of professionals and teams, including:
- Investment Banking Teams
- Asset Managers Their Sales Personnel
- Third-Party Marketing & Fund Wholesaling and Distribution Groups
- Fund Sponsors
Don’t Let Compliance Be the Cost of Your Independence
Owning a broker-dealer used to be the only path to operating independently in the private capital markets. Today, FINIQ offers a smarter alternative.
Our white-label solution eliminates the operational and regulatory friction, giving you the confidence to grow your business, serve clients, and build your legacy—without the distraction of managing licenses, filings, or audits.
