Your Broker-Dealer Partner. The Security of Compliance.
Our team understands the M&A Process and is committed to ensuring the integrity of the transactions you advise on are protected when securities are involved. Please contact us to learn how we may suit your needs or check out our blog for industry news.
Our initial call will help us understand your business model, explain our services, and explore Series 79 Sponsorship.
Once your model is understood, then we can figure out the best way for MAS to fit into your process and help with FINRA registration.
After there is a green light to move forward from both sides, then the relationship is memorialized.
Compliance personnel are assigned to work with your group after careful consideration of your practice’s needs.
Please let us know if you are in the Kansas City area or will be attending ACG’s monthly meeting on Friday October 21st and would like to discuss how our independent broker dealer services can fit into your business. ACG events like this allow us to meet with M&A...
Cybersecurity professionals point out that since the invention of the computer, two methods have accounted for most malicious breaches: social engineering and unpatched software. Ransomware attacks are one of the most common cybersecurity threats...
President & CCO