Finalis is a compliance and supervisory platform for dealmakers

With over 50 years of aggregate compliance experience from firms like
Bank of America, BBVA, Raymond James, and Stillpoint Capital,
we ensure that you and your deals remain fully compliant.

Compliantly engage in a range of M&A, private placement, and alternative investment transactions in all U.S. states and territories.




Agent Services


Mergers, acquisitions and divestitures of companies through various types of financial transactions, including mergers, acquisitions, consolidations, tender offers, purchase of assets, and management acquisitions.


  • "</pEB-5 Financings
  • "</pSpin-Offs
  • "</pTender Offers
  • Leveraged Buyouts
  • Reorganizations
  • Finder Fee Arrangements
  • 15a-6 Chaperoning

Private Placements

Sales of stock shares or bonds to certain investors and institutions, including banks and other financial institutions, mutual funds, insurance companies, and pension funds.


  • "</pReg D Offerings
  • "</pReg A Offerings
  • "</pEquity Offerings
  • Convertible Debt Offerings
  • Debt Raises
  • Opportunity Zone Offerings
  • PIPE Offerings

Investment Banking

Aid in the sale of securities, and help to facilitate mergers and acquisitions, reorganizations and brokering trades for certain investors and institutions.


  • "</pSecondary Market Transactions
  • "</pCapital Raising
  • "</pFinder Fee Arrangements
  • Private Deal Structuring
  • Taking Equity on Deals

Placement Agent Services

Capital raising and third party marketing services for investment funds, including hedge funds, private equity funds, and venture capital funds, from certain individuals and institutional investors.


  • "</pIndependent Sponsor deals
  • "</pDirect Placement/ Intermediary Services or Introductions

A broker-dealer and deal flow tech platform in one

The first broker-dealer platform embedded with a deal flow technology platform that’s easy to integrate whether you’re a new or existing investment bank or placement agency.

Flexible pricing

We offer flexible pricing tiers based on your business goals and size, and options for every type of dealmaker.

24/7 customer service and compliance support

Access to a experienced team with real time 24/7 customer service and compliance support.

Easy to set-up and integrate

Effortless hand-off from your existing broker-dealer and seamless set-up for new banks and placement agencies, leveraging expertly prepared and adaptable compliance features based on your business needs.

Tech platform

  • "</p
    White-labelled — market your own brand
  • "</p
    Flexible broker-dealer platform — pick and choose deals across any industry
  • "</p
    Fully-integrated data room for unlimited number of deals
  • "</p
    Seamless set-up for new and existing banks and placement agencies
  • "</p
    FINRA and SEC-compliant broker-dealer


  • "</p
    Seasoned compliance team
  • "</p
    Easy transition from your current broker-dealer
  • "</p
    Professional track record
  • "</p
    24/7 “always-on” customer service and compliance support
  • "</p
    Compliant and regularly updated state-of-the-art legal templates and forms
  • "</p
    Financial Consulting & Advisory on M&A and other IB services

Other benefits

  • "</p
    Registered in all 50 states
  • "</p
    Global reach
  • "</p
    Market Intelligence solutions
  • "</p
    Flexible pricing options
  • "</p
    E&O Insurance coverage

Finalis offers a streamlined intake process with
quick* turnaround for registration

*(On average 24-48 hours)

  • Step 1

    Compliance qualification &

  • Step 2

    Streamlined compliance

  • Step 3

    Registration complete

Experienced team experience
across multiple verticals

Our compliance team with over 50 years
aggregate experience from Raymond James,
Bank of America, StillPoint Capital, BBVA
Compass, First Allied Securities reviews
your compliance reports, due diligence, and
deal documents with a quick turnaround and
ensures that you and your deals remain fully

Our affiliates provide financial consulting
and advisory services in the fields of M&A,
divestitures, deal structuring, financial valuations
and other investment banking services.




Oil and Gas




Renewable Energy



Learn more and contact us

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    Certain services so designated are offered by Finalis Securities LLC, Member FINRA / SIPC and an affiliate of Finalis, located at Sausalito, CA. Finalis Securities does not make investment recommendations and no communication, through this website or in any other medium should be construed as a recommendation for any security.

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