License Outsourcing (Principal)

“Full service” should mean full service, which is why CXG offers the outsourcing of a full range of FINRA required licenses:

  • Chief Compliance Officer
  • Chief Operating Officer
  • Financial and Operations Principal (FINOP)
  • Series 4 – Registered Options Principal
  • Series 24 – General Securities Principal
  • Series 79 – Investment Banking Principal
  • Series 53 – Municipal Securities Principal

Keep your business pacing the competition, or expand and grow into new capabilities and marketplace opportunities. License outsourcing is the most efficient and effective path to elevating your firm:

Reduced costs. Outsourcing compliance personnel costs significantly less than hiring full time. CXG streamlines your staffing and protects your bottom line.

Customization. With our a-la-carte services, we can customize a solution specifically tailored to meet the requirements & compliance needs of your Firm.

Scalability. As your business grows and your licensing requirements evolve, CXG can provide resources that expand with you. Simple, cost-efficient, and effective.

Manage risk. We’re here to make sure that your compliance needs don’t exceed your requirements. CXG delivers the expertise you need to avoid added scrutiny and costly penalties.

Stay on the cutting edge, and don’t let compliance hold your growth and operations back – License outsourcing from CXG makes anything possible. Contact us today to find out how we can get you approved to explore new broker-dealer opportunities.

Ready to see what we can do for you?

Speak with one of our Principals and discuss how we can help your business.

We needed an additional 24 to meet FINRA expansion requirements – CXG really came through for us. Very professional staff and they saved us a bundle in operating costs by setting us up with one of their licensed principals.

NY Broker-Dealer
Social media & sharing icons powered by UltimatelySocial