Become a Registered Rep. with 361Firm at Finalis

Whether you are a Registered Rep. (RR) with another Broker-Dealer or not, you might wish to consider joining our B-D (Finalis) as part of 361Firm.

Reasons to join 361Firm:

  1. You join as an “insider” in the 361Firm community with 4K+ allocators (and 3K+ funds/companies) which hosts events in over 20 countries and 100 cities (see www.361firm.com/home) 

  2. You can immediately cross-sell  

    1. 361’s deals to your investors - see our 25+ sell-side mandates of both direct deals and funds (see No Name Pipeline, or External Pipeline if you have the password)

    2. your deals to 361’s global investors (4K+) - also 361 has buy-side mandates (see 361Core)

    3. on business development matters outside of securities activity

  3. We have a queue of potential mandates on which we could collaborate, and some come with retainers we can share - see 361Firm's Approach to Raising Capital for Funds or Companies (https://361.pub/approach)

  4. You join a collaborative global team 

  5. You can stay independent with your own brand, and just show that you are “a 361Firm affiliate”

How to Join Finalis via 361Firm?

  1. First, fill out the onboarding questionnaire located here, noting that you will be affiliated with 361Firm.

  2. Create credentials and log into Finalis Platform and follow steps

If you do NOT yet have your Registered Rep. Licenses

We can sponsor you so you can take the exams for the relevant FINRA licenses. Typically, to engage in investment banking to raise equity securities, you will need a Series 7 and 63. For the Series 7, you can take the initial steps on your own by passing the SIE (Securities Industry Essentials) exam, and then 361Firm and its BD can sponsor you to take the Series 7. We can help you to navigate the testing and to obtain exam prep materials (e.g. Kaplan).