Banks Operating their Own Broker-dealer
Rethink Compliance. Reclaim Growth
Managing your own broker-dealer is proving to be more complex and resource-heavy than initially expected? Finalis can empower your firm by providing regulatory oversight through the licensing of your individual team members so that you modernize your operations and your team can stay focused on doing deals.
A Commercially-Minded Partner for Modern Bankers
Running your practice should never be a tradeoff between compliance and growth.
Switch to FinalisWe help you
Why Finalis
Streamline your business
With competitive pricing, you can outsource compliance to Finalis and focus on driving impact for your clients.
Reduce Risk
Let SEC/FINRA experts at Finalis bear the compliance risk and regulatory burden for your firm.
Modernize your systems
Finalis’s platform leverages AI and and upgraded workflow designs to slash deal timelines and optimize outputs.
Close More Business
Gain access to investor pipelines, proprietary opportunities, and support from the Finalis Connect and Allocators programs.
“The broader Finalis community is powerful. Finalis has basically created a collaboration space for individual firms, which gives us the collective power and resources of a much larger institution.”
Yixin (Shing) Pan
XTVue, Inc.
Trusted by Hundreds of Bankers
830+
affiliated bankers across sectors
$205B+
in active deal volume
$22B+
in closed transactions
Trusted by 360+ leading financial institutions
Take Your Practice to the Next Level
Join the growing network of independent bankers backed by Finalis.
