## Solutions for Investment Bankers & Placement Agents
[**Trusted Compliance Expertise**
M&A bankers and placement agents operate under constant regulatory pressure. Finalis combines experienced broker-dealer oversight with practical transaction support and technology infrastructure.
Move Forward Confidently](https://www.finalis.com/regulatory-affiliation-compliance) [**Join Peers & Partners**
Access our community of 890+ Members* and benefit from institutional-grade partnerships with top banks and deal tools.
*As of June 1, 2026. Members include all registered representatives (RRs), non-registered persons (NRPs), non-registered fingerprints (NRFs), and Foreign Associated Persons (FAPs)
Join Our Community](https://www.finalis.com/deal-network) [**Connected Compliance & Deal Workflows**
Manage approvals, diligence, payments,and documentation in one platform.
Integrate Your Workflow](https://www.finalis.com/contact)
Your Back Office Just Got An Upgrade
[**Data Rooms, Upgraded And Integrated.**
○ Start strong with a quick, hassle-free set-up — no sales calls or third party vendors
○ Speed up diligence with our simple, intuitive design, real-time analytics, bulk folder uploads, and granular permissions
○ Own your source of truth — stop chasing invoices, archives and audit trails
\nDiscover the Difference](https://www.finalis.com/#) [**Speed Up Compliance Turnarounds**
○ Catch issues before compliance sees them with AI pre-reviews that flag common issues
○ Always know exactly where you stand with real-time progress tracking
○ Accelerate approval cycles with embedded e-signatures
Learn more](https://www.finalis.com/#) [**Control Invoicing & Payments**
○ Create and send invoices directly to clients with pre-populated deal details
○ See where you stand at a glance — get notified when funds are received and processed by Finalis \
○ Funds can be transferred directly to your bank account or split with eligible partners
Learn more](https://www.finalis.com/#)
*AI can help you operate efficiently but is subject to error and is not a substitute for human judgment.
Finalis Makes Firms
Safer
Reduce risk and regulatory burden with our registered broker-dealer services, technology infrastructure, and live deal support.
Faster
Close deals with less friction with a fully-integrated compliance and dealflow platform.
Smarter
Leverage success fee data, centralized workflows, and real-time visibility into deal status to make better decisions.
More Profitable
Cut operational complexity and cost while finding new origination sources and expanding your network.
The Finalis Ecosystem
Transforming private capital markets into an ecosystem that is efficient, automated, and data-driven.
● Regulatory Intelligence
● Deal-Level Review & Approval
● Technology Infrastructure & Auditability
● Ongoing FINRA Affiliation Maintenance
[For Bankers & Placement Agents
Demand more from your broker-dealer affiliation](https://www.finalis.com/bankers)
[For Investors
Access proprietary deal flow and acquisition opportunities vetted by experienced bankers](https://www.finalis.com/for-investors)
[For Issuers
Raise capital or execute a successful exit with the right partner by your side](https://www.finalis.com/for-issuers)
We want you to be our next success story
"Finalis allows me to assemble the best expert working teams to meet my clients’ various investment banking needs on a global basis."
Yixin (Shing) Pan
XTVue, Inc.
The listed firm is a current client of Finalis Securities and was not compensated for its statement.
"I have already connected with several bankers to collaborate on deals which greatly improves the timing and outcome. I look forward to interactions through this portal!"
Dale Sizemore
ConCap Global, LLC
The listed firm is a current client of Finalis Securities and was not compensated for its statement.
"Great collaboration with other affiliates to represent a formidable team."
Jeb J. Altonaga
Clearglass Capital Partners
The listed firm is a current client of Finalis Securities and was not compensated for its statement.
"Finalis looks for ways to partner with us above and beyond the standard broker/dealer partnership."
Testimonio N/A 2
Carlsquare
The listed firm is a current client of Finalis Securities and was not compensated for its statement.
"A well needed change in the broker-dealer space."
Testimonio N/A 1
Peak
The listed firm is a current client of Finalis Securities and was not compensated for its statement.
"There is real power in this model. I believe networking is one of the most important advantages of Finalis."
Christopher McGhee
McGhee Risk Capital, LLC
The listed firm is a current client of Finalis Securities and was not compensated for its statement.
"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."
Billy Birdzell
Horatius Group
The listed firm is a current client of Finalis Securities and was not compensated for its statement.
"Willingness to be flexible, innovative approaches, and topnotch services, are just a few of the attributes we have experienced. "
Gary D. Rakan
Vesticor
The listed firm is a current client of Finalis Securities and was not compensated for its statement.
"We are very appreciative of their dedication to our success."
Ximena Vaca
Epsilon Acquisition Services, LLC
The listed firm is a current client of Finalis Securities and was not compensated for its statement.
Our Blog
Blog [What Finalis Compliance Does for Its Members
Compliance
May 12, 2026](https://www.finalis.com/blog/what-finalis-compliance-does-for-its-members)
Blog [How to Outsource Your Broker-Dealer Compliance (and Why It Matters)
Compliance
March 4, 2026](https://www.finalis.com/blog/how-to-outsource-your-broker-dealer-compliance)
Blog [How Long Does It Take to Become a Broker-Dealer? A Step-by-Step Guide
Compliance
February 25, 2026](https://www.finalis.com/blog/how-long-does-it-take-to-become-a-broker-dealer-a-step-by-step-guide)
Blog [How Government Equity Investments Are Reshaping Private Markets in 2026
Investment Banking
February 19, 2026](https://www.finalis.com/blog/how-government-equity-investments-are-reshaping-private-markets-in-2026)