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The security of compliance.


Interviews with Senior Management

How did you get here Jessica?

“Believe it or not, I’m an English major. I started a career in advertising in L.A., but 9/11 made me reconsider my priorities. I moved to Vail, Colorado for several years where I worked very hard for very little in exchange for playing on some of the most beautiful land in the world. In 2006 my father invited me to move back to the Midwest to help market his broker-dealer. He was a former regulator and had owned independent contractor BDs since the ‘80s. Together, we built an M&A division from the ground up…we went from zero to over 80 middle market advisors with over thirty locations. I enjoy analyzing the maze of securities rules, laws, case law, and figuring out how they truly apply to our business and then figuring out how to make that as simple and quiet as possible within the M&A process. I like the freedom of running a niche firm that licenses individuals who run their own niche companies. There are lots of highly successful, independent minded people around. Its an exciting space full of individuals who always come to the table with interesting ideas.”

 

What are MAS’ core values?

“We respect our associates, the expertise they bring to the table, the time they commit to their clients, the energy they’ve put into building their own firms. We view them as partners. We strive for simple processes that are appropriate for our space and commit to educating our associates as to why certain requirements apply. A professional, personal, accessible staff allows for a small firm experience, a consistent relationship, an expected level of service. We at the home office are comprised of all non- producers who operate in a culture of compliance. We are truly the compliance department down the hall. We are on top of what needs to be done to satisfy regulations and will lead our guys through the process. Oh, and we like to be funny once in a while too.”

 

Free time?

“No. Running a company, two boys under four and one over forty. Enough said.”


 

 

What’s your story Amy?

I began my career at GE, where I was afforded the opportunity to be part of their Financial Management Program and Corporate Audit Staff, gaining significant experience in corporate finance and compliance both from the industrial and capital side of the business. I have my BSBA degree in finance from the University of Central Missouri and I hold my Series 24, 79, and 63 FINRA licenses. Outside of the office, I work alongside two incredible non-profit organizations located here in Kansas City – Literacy Kansas City and HealthEd Connect.

 

How did you end up as a Senior Compliance Officer at M&A Securities Group?

I joined M&A Securities Group because I enjoy the hands on experience that comes with working in this space alongside our representatives and their private investment banking practices. Being the Senior Compliance Officer of the firm means I am actively involved in continually enhancing our operations as a compliance department to meet the ever evolving challenges of the regulatory environment under which we operate.

 

Why join M&A Securities Group?

Partnering with M&A Securities Group provides you with the ability to focus on your investment banking business and to leave securities compliance to our professional team. Our firm provides you with a compliance officer who knows and understands your business, as well as the support of a firm who focuses solely in M&A broker dealer activities and regulatory compliance.


 

 

Mr. Tom Schultz

MAS has engaged Schultz Compliance Consulting to assist our firm with various compliance needs. Mr. Schultz began his career at the NASD (now FINRA) in 1982, remaining with FINRA until October of 2010, where he served as Principal Examiner, Examination Manager and also worked with the Anti-Fraud Department in Washington D.C. as a Special Investigator. All such positions have afforded Mr. Schultz extensive knowledge and experience with a broad range of securities rules and regulations and investigatory techniques. Twice nominated for NASD’s “Excellence in Service” and both times receiving Honorable Mention recognition, plus receiving a Letter of Recognition from the Director of the FBI for assisting in their investigation, Mr. Schultz’s expertise in compliance consulting is highly valued by our firm.  Mr. Schultz holds his Series 24, 79, 27 and 7 with MAS.


 

 

In addition to our Senior Management introduced above, MAS has a dedicated home office staff of licensed, non-producing Compliance Officers, including individuals who hold extensive prior experience working for FINRA. All members of our senior compliance team possess previous experience with M&A related compliance.

*Some transactions completed by MAS professionals on prior platforms.