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Broker Dealer Expert

Need to buy or start a Broker Dealer? No one
has more expertise Helping Broker Dealers.

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Expand Your Firm

Need a part-time 24, or a Series 4 to clear
options? That's our specialty.

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Need a Seasoned CCO
or FinOp?

Our turn-key solutions can protect your firm
at a fraction of the traditional cost.

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CMA Specialists

Expanding your business? We are 1017
experts. Get your approval fast tracked.

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Looking for Cost Efficient Compliance Solutions?

Book an Appointment
Compliance Exchange Group LLC
Why CXG?

We offer an unmatched range of broker-dealer services, backed by practical board experience.

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Compliance & Principal Outsourcing
Outsourcing a Principal

Manage costs, extend your organizational reach, superior short and long-term solutions.

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CXG | Compliance Exchange Group
Need a FinOp?

Our experienced principals can spearhead your finance functions, to deliver exceptional value and results

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Broker-Dealer Solutions

Buy a Broker-Dealer

The fastest, most efficient way to grow your business and develop new revenue opportunities. We deal in all license types.

Turn-Key CCO

CXG is your one-stop shop for outsourced CCO, FinOp, and finance Principals, all highly experienced and fully licensed. Fast and cost-efficient solutions.

BD Compliance

Compliance is a necessity for growth. We offer solutions that are cost-effective and scale to your needs, with best-available experience and performance.

1017 Experts – CMA

We specialize in fast tracking 1017 approvals. Why wait around, when you can start exploring new opportunities with leading efficiency.

FINRA Gateway – Registration

We know FINRA Gateway. From onboarding reps to state registrations – our clients have fewer hassles. We manage this complex process for you.

Investment Banking for BDs

Need a Series 79 to capitalize on investment banking opportunities? Our industry-leading talent is experienced and ready to help you.

Focus on your growth,
we’ll handle compliance.

3825
Broker-Dealers
7.2
Potential new customers
2.5
Raised today by other Firm
Request a call back.

Book an appointment with one of our highly trained professionals to discuss your compliance, outsourcing or CMA requirements. You can also call us at: 631-595-5305 or email

Mission & Vision

Our Mission: "The CXG Experience”

At our core, Compliance Exchange Group (CXG) strives to provide our clients with transcendent service, navigating complex regulatory environments to successfully build, develop, and manage innovative Broker-Dealers, helping our clients become market leaders of the financial community.

In our pursuit of excellence, we push beyond conventional boundaries, marrying acumen and proficiency with dedication and commitment to provide an unparalleled client experience.

Our Vision: "The CXG Future"

As the market leader in all things Broker-Dealer, CXG is continuing to transform the financial services industry, providing streamlined BD ownership access to clients worldwide, allowing innovators to bring their ideas to financial markets, shaping our industry for the future.

Empowering both industry veterans and newcomers alike, our goal is to remove the many barriers to Broker-Dealer ownership, making it possible for our generation’s great financial minds to sculpt our world of investing.

We invite you along on our journey transforming the financial services industry.