Finalis offers white-labeled U.S. regulatory broker-dealer affiliations for boutique investment banks, placement agencies and independent investment bankers and brokers who do not own their own broker-dealer entity. We provide Partners with flexible coverage across all 53 U.S. states and territories, and international coverage for foreign broker-dealers seeking access to U.S. investors via 15a-6 chaperoning. Finalis is the last-mile regulatory solution that you need to access the U.S. capital markets.
Maintain your regulatory licenses and requirements with Finalis’ compliance solutions
Streamlined compliance solutions covering your end-to-end deal lifecycle
Ensure your deals remain in compliance with applicable federal and state laws and regulations
Keep abreast of the latest regulatory developments and remain in compliance
Your secure centralized location for storing and sharing sensitive documents
Access Finalis’ customizable and market-tested transaction templates
*Finalis is not a law firm. All materials are provided for informational purposes only and do not constitute or contain legal advice, nor are they intended to by Finalis.
Win confidence in your dealmaking with deal document processing and execution of Finalis co-signed deal documents
Whether you’re an established boutique bank or placement agency seeking to maximize your growth, or an independent banker or M&A broker just launching your professional brand, Finalis’ Work Flow solution gives you the leverage you need.
With a secure single sign-on, access all of your fully integrated broker-dealer dealmaking back office tools.