Finalis provides brokerage services for private placement securities through its FINRA‑registered affiliate, Finalis Securities LLC. The firm facilitates accredited investor access to illiquid, high‑risk offerings and offers compliance resources such as a Form CRS, privacy policy, and business continuity plan to support due‑diligence and regulatory transparency.
Funding
Funding not disclosed
Founders
Product
Problem
Investors seeking private placement securities often lack a regulated, transparent channel to access these high‑risk, illiquid offerings, making due diligence and compliance difficult.
Solution
Finalis operates through Finalis Securities LLC, a FINRA‑registered broker‑dealer that is SIPC protected, to provide a compliant platform for purchasing private placement securities. The service requires investors to work with a registered representative, ensuring that each transaction meets regulatory standards and that investors receive detailed disclosures, including a Form CRS and privacy policy. By centralizing the offering process, Finalis streamlines documentation, facilitates secure electronic execution, and maintains records in accordance with FINRA and SIPC protections. The platform also emphasizes investor education on the speculative nature and transfer restrictions of private placements, encouraging thorough due diligence and consultation with legal, tax, and financial advisors.
Target Audience
Primary customers are accredited and qualified investors who are interested in private placement opportunities and require a regulated broker‑dealer to facilitate compliant transactions.
Features
- Access to private placement securities via a FINRA‑registered broker‑dealer (Finalis Securities LLC)
- SIPC protection for client assets held through the broker‑dealer
- Mandatory consultation with a registered representative to ensure compliance and suitability
- Comprehensive disclosures, including Form CRS, privacy policy, and business continuity plan
- Secure electronic transaction processing with regulatory record‑keeping
- Ongoing risk warnings and guidance on illiquidity, transfer restrictions, and potential loss of capital