CXO FlexForce

Fractional Executives
& On-Demand Expertise

Unlock your firm's potential with seasoned FINRA and SEC-licensed executives and staff — on a flexible, fractional basis. Stay agile and competitive without the full-time overhead.

Why Fractional

Expert leadership exactly when you need it

Incorporate gig-model professionals into your business to adapt quickly to market changes and scale compliance operations smartly.

01
Cost-Effective

Access high-caliber executive talent at a fraction of the full-time cost. No benefits, no onboarding overhead — just results.

02
Immediate Deployment

Our licensed professionals are ready to embed within days, not months. No recruitment cycles, no long onboarding delays.

03
Scalable & Flexible

Scale leadership support up or down as your business evolves. Engage part-time, full-time, or project-based — your choice.

Principal Roles

Licensed principals for every supervisory need

General Securities Principal (Series 24)

Supervise sales practices, communications, branch activity, and regulatory controls across broker-dealer operations. Outsourcing your Series 24 costs a fraction of an in-house hire.

Financial & Operations Principal (FinOp)

Net capital monitoring, FOCUS reporting, reserve computations, and financial controls aligned with SEC and FINRA financial responsibility rules. Partnered with top-tier FinOp firms like ACI.

Investment Banking Principal

Manage underwriting supervision, due diligence, syndicate activity, and regulatory obligations. Fractional model delivers immediate IB expertise without full-time overhead.

Trading Principal

Day-to-day management of trading operations and regulatory controls in for alternative trading systems (ATS). Robust operational structure without full-time executive staffing costs.

Options Principal

Specialized supervision for options trading operations, strategies, and regulatory requirements. Expert oversight for complex derivatives programs.

Chief Compliance Officer (CCO)

Outsource your CCO function entirely. FINRA and SEC-licensed compliance officers who run your complete compliance program with AI-accelerated workflows.

Firm Types Served

Fractional coverage for every regulated model

Broker-Dealer

From initial setup to regulatory approvals — full operational and compliance support ensuring your BD runs smoothly and stays compliant.

Registered Investment Adviser

From compliance and risk management to strategic business insights, our fractional executives provide the agility your RIA needs to stay competitive.

Exempt / Internet Adviser

Navigate complex regulatory challenges, drive strategic growth, or get operational support — with or without a long-term commitment.

Futures Commission Merchant

Expert guidance to navigate CFTC and NFA regulatory requirements for operating in the futures market. Compliance and operations covered.

Alternative Trading System

Guidance through launching your Alternative Trading System to trade traditional and digital assets.

Compliance Audits & Projects

One-off and prescriptive consulting for discrete projects. Tailored expertise, focused solutions, and efficiency for your unique business challenges.

Our Experts Licenses

Our experienced staff
are ready to start today

FINRA licenses held by our seasoned executives and staff.

FINRA_Series_3
Series 3

The Series 3 is the National Commodities Futures Exam and is generally required for professionals involved in futures and commodities activities. It is designed for individuals working in the futures industry rather than the traditional securities side of a broker-dealer.

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Series 4

The Series 4 qualifies an individual to act as a Registered Options Principal. It is intended for supervisors responsible for overseeing options business and options personnel at a firm.Email surveillance, marketing reviews, and WSP audits consume weeks of analyst time that could be automated with AI.

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Series 7

The Series 7 is the General Securities Representative Exam. It qualifies individuals to engage in a broad range of securities activities, including the sale of many common securities products.

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Series 9

The Series 9 is one half of the General Securities Sales Supervisor qualification. It focuses on supervision of options and certain sales activities and is typically paired with the Series 10.

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Series 10

The Series 10 is the companion exam to the Series 9 and covers broader supervision of general securities sales activities. Together, the Series 9 and 10 qualify an individual to supervise sales personnel in many retail brokerage functions.

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Series 24

The Series 24 is the General Securities Principal Exam. It is designed for principals who supervise a broker-dealer’s investment banking, trading, underwriting, and general securities business, subject to the scope of the firm’s activities and any other required registrations.

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Series 52

The Series 52 is the Municipal Securities Representative Exam. It is for professionals involved in municipal securities activities and covers the rules and practices applicable to municipal products.

FINRA_Series_53
Series 53

The Series 53 is the Municipal Securities Principal Exam. It is intended for supervisors of municipal securities activities and is generally required for principals overseeing that line of business.

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Series 57

The Series 57, or Securities Trader Representative Exam, is designed for individuals who engage in securities trading activities, including proprietary trading in equity, preferred, and certain convertible debt securities.

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Series 63

The Series 63 is the Uniform Securities Agent State Law Exam. It covers state securities law principles and is commonly required for registered representatives doing business with clients in many states.

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Series 65

The Series 65 is the Uniform Investment Adviser Law Exam. It is commonly used to qualify individuals as investment adviser representatives and focuses on advisory regulation, ethics, and fiduciary concepts.

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Series 79

The Series 79 is the Investment Banking Representative qualification. It is intended for professionals engaged in investment banking activities such as mergers and acquisitions, tender offers, financial restructurings, and securities offerings.

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Series 99

The Series 99 is the Operations Professional Exam. It is designed for operations personnel whose functions support a broker-dealer’s business, including key back-office and control-oriented responsibilities.

FINRA_SIE
SIE

The Securities Industry Essentials, or SIE, is an introductory exam for individuals entering the securities industry. It tests basic knowledge of products, markets, regulators, and prohibited practices, and is often the first step before taking a representative-level qualification exam.

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