Compliance Exchange Group (CXG) Employee Directory

Financial ServicesNew York, United States11-50 Employees

CXG is a top-tier compliance firm, servicing FINRA regulated broker-dealers across the continental U.S. We are one of the few firms that provide outsourced principals, in addition to regulatory consulting, CCO & FINOP outsourcing, and CMA-1017 services.  A true engine for growth, CXG serves broker-dealers, removing barriers to growth.
 
With leading talent and proven expertise, all outsourced at a fraction of in-house costs, CXG is equally equipped for meeting immediate short-term needs or providing long-term solutions. If you’re a small to mid-size firm looking to grow, or a start-up firm seeking FINRA approval, we can help. 

➜Principal Outsourcing
Seasoned  CCOs, FINOPs and 24s ready to help you reduce costs, manage risk, and even clear trades. Grow & lead your firm into new markets; all as rapidly as your business demands. 

➜BD Compliance Services, putting our clients in the lead. 

Customizable, cost-effective compliance services that transform your compliance into your leading edge. With CXG, the weight of registration or compliance issues is lifted off your shoulders,  clearing the way for you to focus on revenue growth.

➜Buy or Sell a Broker-Dealer
As the fast-approval experts, we won’t let a CMA hold you back from doing business. CXG’s start-to-finish support gets firms open as quickly as possible. Buy a broker-dealer to get up and running fast. Or, if you need to add business lines or branch offices to your current operation, we can get you there.  If you would like to sell your broker dealer, we can find you a quality buyer, ensuring a successful sale.

➜FINOP
Outsourced FINOP & CFO services to cover all your SEC and FINRA compliance needs. Whether your start-up needs a FINOP or your mid-sized firm could use a seasoned CFO, we have the critical resources and leadership that your firm needs now.

➜Licenses Held:
Series 24, Series 4, Series 79, Series 53, Series 27, and Series 99

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