testimonials

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.

NY 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

VA 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!

NY Broker-Dealer

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