Chaperoning Background Check

Thank you for your interest in partnering with Finalis for U.S. chaperoning under Rule 15a-6. We kindly request the following information for our compliance team to conduct their corporate level review.

Company Information:

Please Provide Detail on the Company’s Following Corporate Officers:

Chief Executive Officer:
Chief Compliance Officer:

Please Upload the Following Corporate Documentation Which is Required for Finalis’ Review:

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Hear from our community of dealmakers

It has been amazing to use the Marketplace—great collaboration with other affiliates to represent a formidable team. I am excited about what's been built and what is forthcoming.
Jeb Altonga
Managing Partner, Clear Glass Capital
I'm very happy Finalis introduced a sharing tool between bankers. I've already connected with over six bankers to collaborate on deals which greatly improves the timing and outcome. I look forward to future interactions through this portal!
Dale Sizemore
There are real-estate professionals on the platform that I have engaged with to pitch in a month-long bakeoff with other investment banks, and because both of us met through the Finalis Marketplace, we won the mandate.
Billy Birdzell
Managing Director at Horatius Group
The most banker friendly broker-dealer team I have ever worked with. Utmost professionalism with a friendly personal touch. Easy to use, well-designed online platform.
Chris Clement
Deep Impact Capital
Finalis looks for ways to partner with us above and beyond the standard broker/dealer partnership. We consistently look to them for compliance guidance, legal advice, and help with contract issues.
Susan Blanco
Founder & Managing Partner