Broker-dealer solutions. Helping you succeed.

With over 37 years of agency brokerage experience, CAPIS offers broker-dealers expertise in global equity, fixed income, derivatives execution, research, commission management, and compliance.

Our broker-dealer offerings serve as a natural complement to the services you provide your clients. And as an independent agency broker, CAPIS will never compete with your clients’ interests: we succeed only when you and your clients succeed.

Services we provide our broker-dealer partners include:
  • Fully disclosed correspondent brokerage
  • Independent CCA & CSA offering
  • Transition management
  • Compliance support
  • Personal client service
  • Accounting statements

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