Broker-Dealer Experts

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

Broker Dealer Compliance & Principal Outsourcing

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

Expand Your Firm

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

Need a Seasoned CCO
or Finop?

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

CMA Specialists

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Looking for Cost Efficient Compliance Solutions?

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Why CXG?

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

Outsourcing a Principal

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

Need a FINOP?

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

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

testimonials

NY Broker-Dealer

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.

VA Broker-Dealer

We knew we needed help when we found out that our audit was coming up. We’re a small firm and we just didn’t have the bandwidth, so some things were overlooked. A colleague turned us on to CXG, they were there for us every step of the way

FL Broker-Dealer

When I first started the firm, I was the CCO. Then I hired someone as we grew. They weren’t the best, but I knew that and our sales couldn’t justify hiring a top tier guy. Compliance Exchange opened my eyes to some real solutions. With their CCO program, we have real help and I can focus on growing our business. These guys are fantastic!

Request a call back.

Would you like to speak with one of our Principals over the phone? Just submit your details and we’ll be in touch shortly. You can also email us if you would prefer at info@cxgllc.com

Broker Dealer Compliance & Principal Outsourcing

Looking for Cost Efficient Compliance Solutions?

Why CXG?

Outsourcing a Principal

Need a FINOP?