Compliance Exchange Group operates at the vanguard of Broker Dealer consulting and Chief Compliance Officer outsourcing providers. Others claim to be “full service” while only hosting limited capabilities. At CXG we live up to the label, we outsource the complete range of compliance & finance Principals, including:

Chief Compliance Officers

FinOps

Licensed Principals

Series 4 – Registered Options

Series 24 – General Securities

Series 79 – Investment Banking

Another reason our services stand head-and-shoulders above others is our roster of seasoned, highly experienced talent. Our Principals have built and developed Investment Banks and Trading Rooms, they have created Broker Dealers from scratch. They’ve also held CEO, CFO, CCO, FinOp, and Board roles at a variety of organizations, so they know the ins and outs of how businesses grow efficiently and effectively.