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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

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