General Info

Compliance Exchange Group (CXG) offers a comprehensive suite of services tailored specifically to the broker-dealer industry. Whether you're looking to establish a new broker-dealer firm or enhance the compliance framework of an existing one, CXG provides expert guidance every step of the way. Services Include: Broker-Dealer Compliance Consulting Broker-Dealer Registration Services Broker-Dealers for Sale Starting a Broker-Dealer Buying a Broker-Dealer Chief Compliance Officers (CCO) & Chief Operating Officers (COO) Services Financial and Operations Principal (FinOP) Services Series 24, 27, 29, 53, and 4 Licenses Support Registered Options Principal (ROP) Services