Principal License Outsourcing

“Full service” should mean full service, which is why at CXG we offer principal license outsourcing for 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

Why Principal License Outsourcing?

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

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.

Reduced costs

Outsourcing lowers compliance personnel costs significantly versus hiring a in-house licensed principal. 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.

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