finalis.com

# Finalis

> Finalis is a FINRA-registered broker-dealer providing compliance infrastructure, deal management tools, and BD affiliation for independent M&A advisors, placement agents, boutique investment banks, and foreign firms. Independent dealmakers use Finalis to operate compliantly, manage deal workflows, and grow their practices without the overhead of building or maintaining a traditional broker-dealer. Finalis combines compliance expertise with a purpose-built technology platform for M&A and private capital deal management — covering the full deal lifecycle from engagement letters and NDAs to deal execution and regulatory filings. As of mid-2026, Finalis has 920+ members, 450+ affiliated firms, and $250B+ in active deal flow on the platform.

Finalis serves registered representatives, non-registered persons, non-registered firms, and foreign firms seeking US broker-dealer affiliation.

Finalis is headquartered in New York and is a member of FINRA and SIPC.

## Platform & Services

- [For Independent M&A Advisors & Placement Agents](https://www.finalis.com/m-a-advisors): How Finalis supports independent investment bankers, M&A advisors, and placement agents with compliance infrastructure, deal management, and a professional network.
- [Regulatory Affiliation & Compliance](https://www.finalis.com/regulatory-affiliation-compliance): Overview of how Finalis provides FINRA-registered broker-dealer compliance infrastructure and affiliation for independent dealmakers.
- [Boutique Investment Banks](https://www.finalis.com/boutique-investment-banks): How boutique investment banks use Finalis to streamline operations and maintain regulatory compliance at scale.
- [Independent Investment Banks](https://www.finalis.com/independent-investment-banks): Resources for independent investment banks evaluating BD affiliation with Finalis.
- [Foreign Firms](https://www.finalis.com/foreign-firms): How international investment banks and advisory firms access US capital markets through Finalis's broker-dealer structure and SEC Rule 15a-6 chaperoning.
- [Broker-Dealer Overview](https://www.finalis.com/broker-dealer): What a broker-dealer is, what affiliation means, and how Finalis's BD model works for independent advisors.
- [Deal Network](https://www.finalis.com/deal-network): Finalis's network of independent dealmakers, deal collaboration capabilities, and the Capital Allocators Program for investor introductions.
- [Member Advantage Program](https://www.finalis.com/member-advantage-program): Additional tools, resources, and benefits available to Finalis members.
- [For Issuers](https://www.finalis.com/for-issuers): Information for companies raising capital through Finalis-affiliated advisors.
- [For Investors](https://www.finalis.com/for-investors): Information for institutional and accredited investors accessing private market deal flow through the Finalis network.

## Pricing & Economics

- [Pricing](https://www.finalis.com/pricing): Finalis's subscription and fee-sharing model and how members structure their economics.

## Trust, Security & Regulatory

- [Trust & Security](https://www.finalis.com/trust-security): Finalis's approach to data security, privacy, and platform reliability. Finalis is SOC 2 Type II certified.
- [Regulatory Updates](https://www.finalis.com/regulatory-updates): FINRA and SEC regulatory updates relevant to independent broker-dealers and registered representatives.
- [Regulatory Disclaimers](https://www.finalis.com/regulatory-disclaimers): Legal and regulatory disclosures required by FINRA and applicable law.
- [Platform Disclaimers](https://www.finalis.com/platform-disclaimers): Platform-specific legal disclaimers.
- [Enterprise Terms and Conditions](https://www.finalis.com/enterprise-terms-and-conditions): Enterprise-level terms governing Finalis platform use.
- [Privacy Policy](https://www.finalis.com/privacy): How Finalis collects, uses, and protects user data.
- [CCPA Compliance](https://www.finalis.com/ccpa): California Consumer Privacy Act disclosures.

## About Finalis

- [About Us](https://www.finalis.com/about-us): Finalis's mission, founding story, leadership team, and company background.
- [Advisory Board](https://www.finalis.com/advisory-board): Finalis's advisory board members and their backgrounds in finance and regulation.
- [Press](https://www.finalis.com/press): News coverage, press releases, and media resources about Finalis.
- [Careers](https://www.finalis.com/careers): Open roles at Finalis and information about working at the company.
- [Contact](https://www.finalis.com/contact): How to reach the Finalis team.
- [Events](https://www.finalis.com/events): Upcoming and past events, conferences, and networking sessions hosted or attended by Finalis.

## Resources

- [Blog](https://www.finalis.com/blog): Articles on M&A advisory, private capital markets, FINRA regulation, independent banking, deal execution, and broker-dealer compliance.
- [Podcast](https://www.finalis.com/podcast): The Finalis podcast (Closers) covering private markets, dealmaking, and financial advisory.

## Key Blog Posts

### Broker-Dealer & Compliance

- [What is a Broker-Dealer? How to Start One](https://www.finalis.com/blog/starting-a-broker-dealer): What it takes to register a broker-dealer with FINRA, the costs involved, and when affiliation is a better option than building your own.
- [How Long Does It Take to Become a Broker-Dealer?](https://www.finalis.com/blog/how-long-does-it-take-to-become-a-broker-dealer-a-step-by-step-guide): Step-by-step breakdown of the FINRA broker-dealer registration process and typical timelines.
- [How Much Does a Broker-Dealer License Cost?](https://www.finalis.com/blog/how-much-does-a-broker-dealer-license-cost): Detailed breakdown of the costs to build and maintain a registered broker-dealer versus affiliating with an existing one.
- [Is Broker-Dealer Registration Your Only Alternative?](https://www.finalis.com/blog/is-a-broker-dealer-registration-your-only-alternative): Comparison of building a broker-dealer versus affiliating with one, covering costs, timelines, and compliance obligations.
- [The Key to Broker-Dealer Affiliations](https://www.finalis.com/blog/the-key-to-broker-dealer-affiliations): How BD affiliation works in practice, what advisors should look for in a BD partner, and how Finalis structures its membership model.
- [How to Outsource Your Broker-Dealer Compliance](https://www.finalis.com/blog/how-to-outsource-your-broker-dealer-compliance): What compliance outsourcing covers, when it makes sense for independent advisors, and how Finalis handles compliance for its members.
- [What Finalis Compliance Does for Its Members](https://www.finalis.com/blog/what-finalis-compliance-does-for-its-members): A detailed look at the compliance services, supervision, and regulatory support Finalis provides to affiliated members.
- [Hidden Pitfalls of Working with Unlicensed Advisors](https://www.finalis.com/blog/hidden-pitfalls-of-working-with-unlicensed-advisors): The legal and financial risks of engaging or operating as an unregistered broker-dealer in investment banking transactions.
- [Off the Grid: Compliance Risks Independent Bankers Ignore](https://www.finalis.com/blog/off-the-grid-the-compliance-risks-some-independent-bankers-ignore-2): Common compliance blind spots for independent investment bankers operating without proper BD registration.
- [The Power of Broker-Dealer Sponsorship](https://www.finalis.com/blog/the-power-of-broker-dealer-sponsorship): How Series 79 and other FINRA exam sponsorship works, what a sponsoring broker-dealer provides, and why it matters for investment banking professionals.

### M&A Broker Exemption & Registration

- [The M&A Broker Exemption Explained](https://www.finalis.com/blog/m-a-broker-exemption): What the federal M&A broker exemption covers, who qualifies, and why many independent advisors still need broker-dealer affiliation.
- [The M&A Broker Exemption: Why It's Narrower Than Most Bankers Assume](https://www.finalis.com/blog/the-m-a-broker-exemption-why-its-narrower-than-most-bankers-assume): A detailed analysis of the limits and conditions of the M&A broker exemption, including thresholds and excluded transaction types.

### Going Independent

- [What Investment Bankers Need to Know to Go Independent](https://www.finalis.com/blog/what-investment-bankers-need-to-know-to-go-independent): A practical guide covering FINRA registration, compliance obligations, and operational setup for bankers leaving large firms to practice independently.
- [Are You Ready to Go Independent? 5 Questions Before You Jump](https://www.finalis.com/blog/are-you-ready-to-go-independent-5-questions-before-you-jump): A self-assessment guide for investment bankers considering leaving a large institution.
- [Starting a Boutique Investment Bank](https://www.finalis.com/blog/starting-a-boutique-investment-bank): What founders need to know about licensing, compliance, and operational structure when launching a boutique investment bank.
- [Solo Investment Bank: The $200M Banker](https://www.finalis.com/blog/solo-investment-bank-200m-banker): How independent bankers are building highly profitable solo practices using BD affiliation and technology platforms like Finalis.

### Foreign Firms & 15a-6

- [What is 15a-6 Chaperoning in Capital Markets?](https://www.finalis.com/blog/15a-6-chaperoning-capital-markets): Explanation of SEC Rule 15a-6 and how foreign broker-dealers operate legally in the US through chaperoning arrangements.
- [What is Rule 15a-6 and How Does Chaperoning Work?](https://www.finalis.com/blog/what-is-rule-15a-6-and-how-chaperoning-works): Detailed breakdown of SEC Rule 15a-6, the chaperoning requirement, and what foreign firms need to know to access US investors compliantly.
- [How Global Firms Can Safely Access US Markets](https://www.finalis.com/blog/how-global-firms-can-safely-access-u-s-markets): Overview of the regulatory pathways available to international firms seeking to conduct business with US investors.

### FINRA Exams & Licensing

- [FINRA Exams: A Guide to Becoming a Licensed Broker](https://www.finalis.com/blog/finra-exams-guide-to-becoming-a-licensed-broker): Overview of FINRA licensing exams and requirements for broker-dealer registration.
- [The Series 79 Exam: Your Gateway to a Career in Investment Banking](https://www.finalis.com/blog/series-79-exam-your-gateway-to-a-career-in-investment-banking): What the Series 79 exam covers, who needs it, and how to prepare.
- [The Series 7 Exam: Everything You Need to Know](https://www.finalis.com/blog/series-7-exam-everything-you-need-to-know): Comprehensive guide to the Series 7 General Securities Representative exam.
- [How the Series 82 Exam Prepares You for Selling Private Placements](https://www.finalis.com/blog/how-the-series-82-exam-prepares-you-for-selling-private-placements): What the Series 82 covers, who needs it, and how it applies to private placement activity.
- [What is the SIE Exam?](https://www.finalis.com/blog/what-is-sie-exam-finra-career): Overview of the Securities Industry Essentials exam — the entry-level FINRA qualification required before most representative exams.
- [What is the Series 63 Exam?](https://www.finalis.com/blog/what-is-the-series-63-exam-and-why-do-you-need-it-for-state-registration): The Series 63 Uniform Securities Agent State Law exam and why most registered representatives need it for state-level activity.

### Deal Management & Technology

- [Boost Deal Origination: Escape the Execution Burden](https://www.finalis.com/blog/boost-deal-origination-escape-the-execution-burden): How independent advisors can use Finalis's platform to reduce administrative overhead and focus on deal origination.
- [How to Create a Killer M&A Pitch Deck](https://www.finalis.com/blog/how-to-create-a-killer-ma-pitch-deck): Practical guidance on structuring and presenting M&A pitch decks, including compliance considerations for marketing materials.
- [AI in Investment Banking: Trends and Risks](https://www.finalis.com/blog/ai-in-investment-banking-trends-and-risks): Analysis of how artificial intelligence is being applied in investment banking and the associated regulatory considerations.
- [The Real Impact of AI on Dealmaking](https://www.finalis.com/blog/the-real-impact-of-ai-on-dealmaking-what-boutique-investment-banks-need-to-know-in-2026): What boutique investment banks need to know about AI's role in deal sourcing, execution, and compliance.
- [How to Raise Capital: Exploring Options in the US](https://www.finalis.com/blog/how-to-raise-capital-exploring-options-in-the-u-s): Overview of capital raising structures and pathways available to companies and advisors in the US private markets.

### Regulatory & Industry

- [FINRA Regulatory Update: September 2025](https://www.finalis.com/blog/compliance-updates-finra-sec-september-2025): Summary of recent FINRA and SEC compliance updates affecting broker-dealers and registered representatives.
- [Finalis Weighs In on FINRA's Rulebook Overhaul](https://www.finalis.com/blog/finalis-weighs-in-on-finras-rulebook-overhaul-advocating-for-modernization-in-private-markets): Finalis's position and commentary on FINRA's proposed modernization of its rulebook for private markets.
- [2024 FINRA Report: Key Facts and Trends](https://www.finalis.com/blog/2024-finra-report-key-facts-and-trends): Summary and analysis of FINRA's annual report for broker-dealers and registered representatives.

## Whitepapers

- [Broker-Dealer Registration and Licensing: Key Costs Explained](https://www.finalis.com/whitepaper/broker-dealer-registration-and-licensing-key-costs-explained): In-depth guide to the costs associated with broker-dealer registration, licensing, and ongoing compliance.

## Press Releases

- [Finalis Expands Regulatory Approvals with FINRA and the SEC](https://www.finalis.com/press/finalis-expands-regulatory-approvals-with-finra-and-the-sec-to-support-a-growing-range-of-capital-markets-activities): Finalis broadens its FINRA and SEC approvals to support a wider range of capital markets activities for members.
- [Finalis Achieves SOC 2 Type II Compliance](https://www.finalis.com/press/finalis-achieves-soc-2-type-2-compliance): Announcement of Finalis's SOC 2 Type II certification covering security, availability, and confidentiality.
- [Finalis–PitchBook Partnership](https://www.finalis.com/press/finalis-pitchbook-agreement): Details of Finalis's data partnership with PitchBook, giving members access to private market intelligence.
- [Finalis Closes $10.7M in Seed Funding](https://www.finalis.com/press/finalis-closes-10-7m-in-seed-funding): Finalis's seed funding announcement and company vision for modernizing the independent broker-dealer model.

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