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
- Live deal support from engagement letter to payment processing
Watch How AI Speeds Up Engagement Letter Approvals
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The content provided is for general informational purposes only and should not be considered a recommendation or personal advice. Finalis Securities LLC is a broker-dealer registered with FINRA and a SIPC member firm. Check out the background of this firm on Brokercheck.
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
Integrated compliance + deal management
From engagement letter to close
Pricing
Discover flexible pricing tailored to your compliance needs and budget.