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.
  • Format: (000) 000-0000.
  • Start date at your Firm*
     - -
  • Are you compensated, or do you have a reasonable expectation of compensation, in connection with your role at the Firm?*
  • Are you interested in learning about the Finalis Marketplace?*
  • Would you like to be part of the Capital Introductions program?*

  • 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?*
  • Would you be interested in viewing deal collaboration opportunities from other affiliates on the Finalis platform?*
  • Would you consider syndicating any of your deals with other Finalis affiliates?*
  • Do you understand that your deal data will be shared, on a fully anonymized basis, with the Finalis Marketplace for analytics purposes?*
  • Do you have any active transactions that need to be migrated from your previous broker-dealer to the Finalis platform?*
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  • [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
  • Is any immediate family member an officer, director, or 10% (or more) shareholder in a publicly owned company?*
  • Have you gained access to material non-public information (MNPI) of a publicly traded company?*
  • Please select the transaction types you engage with:*
  • Please select the industries, and their respective sub-verticals, you engage with:*
  • Secondary Industry for Technology*
  • Secondary Industry for Consumer and Retail*
  • Secondary Industry for Financial Services*
  • Secondary Industry for FinTech*
  • Secondary Industry for Healthcare*
  • Secondary Industry for Life Sciences*
  • Secondary Industry for Consulting, Marketing and Communications*
  • Secondary Industry for Energy*
  • Secondary Industry for Real Estate, Lodging and Leisure*
  • Secondary Industry for Materials*
  • Secondary Industry for Industrials and Other Services*
  • Would you consider your strengths to be in deal origination, deal execution, or both?*

  • Finalis Directory

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