Make compliance a competitive advantage
Reduce risk and close deals faster with Finalis’s registered broker-dealer services, automated oversight, and always-on support.
Your commercially-minded compliance partner.
Add Finalis to your team
Registered broker-dealer with deep regulatory expertise
Experienced with foreign firms (non-U.S. registered)
Dedicated Customer Success Manager
Around-the-clock access to our platform and engaging our Support Teams
Regulatory affiliation that works for you
We deliver all the benefits of broker-dealer ownership, without the headaches
You retain autonomy and full ownership over client relationships and deal flow and deal execution
Explore the Power of the Finalis Ecosystem
For Boutique Investment Banks
Looking for regulatory affiliation and to add an institutional-grade compliance function to your firm
For Banks Operating their Own Broker-dealer
Looking to unwind your existing broker-dealer to operate more lightly and reduce your firm’s overhead
For Foreign Firms
Seeking to seamlessly access U.S. capital markets with expert guidance
“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.”
Discover flexible pricing tailored to your compliance needs and budget.
