Compliance Exchange Group (CXG)

Financial ServicesNew York, United States11-50 Employees

Compliance Exchange Group (CXG) operates within the financial services sector, offering compliance-focused services to FINRA-regulated broker-dealers across the continental United States. The firm provides outsourced principals alongside regulatory consulting, compliance leadership (CCO) and FINOP outsourcing, and CMA-1017 services, aimed at reducing costs and enabling growth for its clients. Its offerings are designed to help small- to mid-size broker-dealers scale operations, enter new markets, and accelerate regulatory and registration processes, including buy/sell support for broker-dealers and rapid start-up or expansion capabilities.

Based in Smithtown, New York, CXG serves broker-dealers seeking enhanced compliance management, risk oversight, and financial operations leadership, with a focus on making regulatory requirements more efficient and cost-effective. The company positions itself as a growth engine for its clients, delivering seasoned professionals and customizable services to support ongoing compliance needs and strategic growth. CXG holds licenses including Series 24, 4, 79, 53, 27, and 99, indicating a broad coverage of regulatory competencies.

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