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:*

Firm Website URL:*

Firm LinkedIn URL (type N/A if you do not have a firm profile):*

Personal LinkedIn Profile URL (type N/A if you do not have a profile):*

Start date at your Firm*

Month/Day/Year

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? *

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?*

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?*

Would you consider your strengths to be in deal origination, deal execution, or both?*

Origination

Execution

Both

Attach the logo of your firm.

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

Do you consent to Finalis promoting your affiliation with our firm on our website and via various social channels, including, but not limited to LinkedIn?*

Yes.

No.

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

The term “immediate family” means parents, grandparents, mother-in-law or father-in-law, spouse or domestic partner, brother or sister, brother-in-law or sister-in-law, son-in law or daughter-in-law, children, grandchildren, cousin, aunt or uncle, or niece or nephew, and any other person who resides in the same household as the registered person and the registered person financially supports, directly or indirectly, to a material extent. The term includes step and adoptive relationships.

Yes

Have you gained access to material non-public information (MNPI) of a publicly traded company?*

Yes

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:

Example: John Doe, johndoe@gmail.com; Jane Doe, janedoe@gmail.com