Complete the Finalis Onboarding Questionnaire within 24 hours.
Sign up to set up your account following the welcome email instructions. Then login with your new credentials and follow the steps to complete your U4 form.
Update your Bank Account information for successful fee payments, and upload 'Outside Brokerage Accounts', if applicable.
🇺🇸 U.S.-based representatives
Schedule a fingerprint scan appointment using the following information to register:
Fieldprint code: FPFinalisCP
Employer name: Finalis Securities LLC
Address: 228 Park Ave South, Suite 85550, New York, NY 10003
Phone: 1-800-965-3605
🌍 Representatives outside the U.S.
Complete the Foreign Address Form with your mailing address so we can send your fingerprint card.
Update public-facing disclosures using the approved language in our Standard Disclosures Document.
Note: If you don’t hold an active S79, S82, or S7 and S63 license, this step won’t apply until you are fully licensed.
New customers
We’ll send your Smarsh code via email within three business days to set up the email administration account. Please wait for these instructions before proceeding.
Representatives joining an existing firm
Contact your email administrator to set up your Smarsh email archiving.
Set up Smarsh email archiving within the next 72 hours. This step can only be completed by the email administrator at your company.
🇺🇸 U.S.-based NRFs:
Schedule a fingerprint scan appointment using the following information to register
Fieldprint code: FPFinalisCP
Employer name: Finalis Securities LLC
Address: 228 Park Ave South, Suite 85550, New York, NY 10003
Phone: 1-800-965-3605
🌍 NRFs outside the U.S.:
Complete the Foreign Address Form with your mailing address so we can send your fingerprint cards.
Follow the instructions in your welcome email to sign up and log in to the Finalis platform.
Submit details of your self-directed brokerage accounts through the Finalis platform, if applicable.
Complete the Chaperone Onboarding form within 48 hours to begin the process.
You will receive the document via DocuSign upon completion of step 1.
FINRA permits 30 business days per calendar year for travel within the U.S. for each FAP.
Document all travel to U.S. meetings and be prepared to attest to the information upon request.
Follow the instructions in the to sign up and access the Finalis platform.
Update all marketing materials and engagement letters to include the required disclosures listed in the Chaperone Disclosures Guideline.
If you plan to pursue investors with $5M - $100M you will be required to set up email archiving for yourself and all FAPs responsible for solicitation.
As per the Securities Act of 1933 and related regulations, a U.S. institutional investor includes: Registered investment companies, banks, insurance companies, and certain trusts or business development organizations.
For more details consult: Rule 501 of Regulation D under the Securities Act of 1933; and FINRA Regulation D Guidance for broker-dealer compliance.
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