Principal – Series 24

If you’re like many small- to mid-size firms looking to grow, you struggle with a difficult Catch-22. You need a Series 24 General Securities Principal to seize new opportunities to expand your reach, but you’re not big enough to staff the position in-house: the scaling challenges and costs are too much. How do you grow, so that you can REALLY grow?

Compliance Exchange Group has the solution: outsource a Series 24 General Securities Principal. Costs to outsource your compliance functions are a fraction of what you pay compared to in-house. It also eliminates the trap of using a non-specialized person to manage compliance when a seasoned executive should be at the helm: outsourcing a dedicated compliance resource reduces risk, cancels resource bottlenecks, and delivers better results. Your firm can again focus on revenues and growth.

CXG has experienced, highly talented Series 24 resources to help you meet compliance obligations for investment banking, clearing trades, managing personnel, solicitation, or to conduct general business. We are one of the only Series 24 providers, anywhere.

Contact us today to find out how your firm can finally start growing.

Ready to see what we can do for you?

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

We couldn’t believe it. We used another consulting firm for our CMA at first and things were going so wrong. We thought the deal was dead in the water. CXG stepped in and took the reigns: 9 lines of business and 20 reps! This team sure knows what they’re doing.

Long Island Broker-Dealer
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