Onboarding Questionnaire

Onboarding Questionnaire

Welcome aboard at Finalis! We are thrilled to have you with us! This brief questionnaire will help us get to know you. Finalis will use information submitted in this questionnaire to report your investment bank as an OBA on your U4. As you are associated with Finalis as an individual, your investment bank represents an Outside Business Activity "OBA" to Finalis.
Email:*
Your business email address that will be used for your securities-related communications.
Your business telephone number:*
Personal LinkedIn Profile URL (type N/A if you do not have a profile): *
Start date at your Firm*

MesDíaAño
Position at your Firm*
Brief 1-2 sentence description of your duties at your Firm*
Are you compensated, or do you have a reasonable expectation of compensation, in connection with your role at the Firm?*

YesNo
Approximate hours per month dedicated to your position?*
Number of hours per month dedicated during securities trading hours?*
Please provide name of any of other licenses you hold besides securities licenses. (e.g. CPA)*
Are you interested in learning about the Finalis Marketplace?*

YesNo
Would you like to be part of the Capital Introductions program?*

YesNot now
Gain access to vetted institutional investors through Finalis Capital Introductions.
Learn How it Works here
Are you interested in Wealth Management Services for your clients?*

YesNo
Would you be interested in viewing deal collaboration opportunities from other affiliates on the Finalis platform?*

YesNo
Would you consider syndicating any of your deals with other Finalis affiliates?*

YesNo
Do you understand that your deal data will be shared, on a fully anonymized basis, with the Finalis Marketplace for analytics purposes?*

YesNo
Do you have any active transactions that need to be migrated from your previous broker-dealer to the Finalis platform?*

YesNo
Please upload a copy of a State-Issued driver’s license or a valid government-issued passport.*

Cancelof
[Former Field / Not currently in use] - Do you consent to Finalis promoting your affiliation with our firm on our website and various social media channels, including LinkedIn? Once you agree, we can promote it at any time. If you would like to set a specific date and guidelines, please contact the Finalis Marketing team at marketing@finalis.com

YesNo
Is any immediate family member an officer, director, or 10% (or more) shareholder in a publicly owned company?*

YesNo
Ticker Symbol & Company Name*
Have you gained access to material non-public information (MNPI) of a publicly traded company?*

YesNo
Please specify the company name, trading symbol and under what circumstances you became aware of this MNPI. Note that we’ll add this stock to your restricted stock list and that you’re not allowed to trade such stock.*
Please provide the name and email addresses, separated by commas, of your firm’s associated personnel (including support staff) who will be directly involved in your Finalis business and need access to our systems—AND who do not intend to become registered with Finalis at this time:
Please select the transaction types you engage with:*

M&A – Sell SideM&A – Buy SideCapital Raise - FundCapital Raise - CorporateSecondary Transaction
Please select the industries, and their respective sub-verticals, you engage with:*

TechnologyConsumer & RetailFinancial Services - TraditionalFinTechHealthcareLife SciencesConsulting, Marketing and CommunicationsEnergyReal Estate, Lodging and LeisureMaterialsIndustrials and Other Services
Secondary Industry for Technology*

adTechAgTech (Agricultural Technology)AnimationArtificial IntelligenceBiometricsBlockchainCompliance/LegalClimate TechCybersecurityData AnalyticseCommerceedTechEntertainment SoftwareeSport/GamingFood DeliveryID VerificationIoTSaaSSupply Chain/InventoryTelematicsOther
Secondary Industry for Consumer and Retail*

Apparel and Textile (Products)Beauty ProductsBeveragesBrandsCannabisEducationEntertainmentFoodFarming/AgriculturalFast FoodGreen Consumer GoodsHealthcare SuppliesHome and Office ProductsLuxury ProductsPets RetailRetailSportsTravel, Lodging and DiningWellness & Fitness
Secondary Industry for Financial Services*

Assets ManagementBankingFamily OfficeInsuranceLenderMortgagePrivate EquityTraditional Broker DealersVenture CapitalOther
Secondary Industry for FinTech*

BlockchainBuy Now Pay LaterCryptoDigital AssetsInsurTechNFT (Non-Fungible TokensPaymentsPropTechSpecial LendingWealthTechRobo AdvisorsOther
Secondary Industry for Healthcare*

Elderly ServicesHair LossHealthcare Facilities/ServicesHealthTechHospitalityIoT HospitalMedical (Equipment/Devices)TeleHealthOther
Secondary Industry for Life Sciences*

BioTechCRO (Customer Research Organization/Optimization)Drug DevelopmentGene TherapyPharmaOther
Secondary Industry for Consulting, Marketing and Communications*

AdvertisingConsultingCreative AgencyMarketingMedia ContentTMTOther
Secondary Industry for Energy*

Renewable EnergyOil, Gas and CoalOther
Secondary Industry for Real Estate, Lodging and Leisure*

B2C InvestmentsCommercial Real EstateHotelHousing MarketInvestmentsMarineResidential Real EstateOther
Secondary Industry for Materials*

ChemicalsConstruction MaterialsContainers and PackagingForest and Paper ProductsIron and SteelMetals and MiningOther
Secondary Industry for Industrials and Other Services*

Aerospace and DefenseAutomotiveBatteriesBuilding MaintenanceElectrical EquipmentEngineering and Construction ServicesHVACIndustrial DistributionMachineryManufactured GoodsPrinting and Labeling ProductsStaff ServicesTransportation and LogisticsTransportation EquipmentUtilitiesWaste and Environmental ServicesOther
Would you consider your strengths to be in deal origination, deal execution, or both?*

OriginationExecutionBoth
Finalis Directory
Would your firm be interested in being featured in the Finalis Networking Directory?*

YesNoMy firm is already being displayed
Firm Display Name*
Please write down your firm's name as would be displayed in the Finalis Directory.
Firm's Website URL*
Type N/A if you do not have a website.
LinkedIn Company Page*
Type N/A if you do not have a LinkedIn Company page.
What country is your firm located in?*
State/Province:*
Firm Description*
Attach the logo of your firm.*

Cancelof
We'll be promoting our partnership with your firm on LinkedIn. If you'd like to specify a posting date or provide guidelines, please contact the Finalis Marketing team ASAP at marketing@finalis.com. If we do not hear from you, we intend to make the timing of the announcement at our discretion.
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Onboarding Questionnaire

Finalis Directory