A term not typically used when discussing securities regulations, but an experience that we strive to provide when you partner with our broker-dealer. We make every effort to minimize impact on your processes.



Our expertise is in compliance and the day to day running of a niche broker-dealer that was built with the boutique M&A advisory firm in mind. If you take a look through FINRA, SEC or state statues, you will not readily find rules written about middle-market M&A advisory. You will find rules written with the retail stockbroker in mind. Our processes were created around what you already do – a customized compliance approach. Yes, we are a broker-dealer, but we are also creative, interpretive and solution based.


Every Deal is Unique

We are opposed to big box, black and white, retail mentality. One size does not fit all. We do not apply rules if they do not apply. We will not treat you like a retail representative. We will not run your business for you. We will treat you like the expert that you are in the sophisticated space that you serve.

We invite you to give us a call to learn about our independent contractor broker dealer platform for Series 79 M&A advisory and Series 7 or 62 institutional capital raising.


The Process

How to Become Registered with MAS

Enter your name and email and we will send you a pdf: "Registering with MAS"

3 + 2 =



*What if my business is ready to register as a broker-dealer? How can we continue to rely on MAS?

Evolution Becoming a FINRA Member Firm Evolution Becoming a FINRA Member Firm



How can MAS help my existing broker-dealer?

Support Compliance Assistance for FINRA Member Firms Support Compliance Assistance for FINRA Member Firms



*Assistance with the FINRA membership process is currently only being offered to existing affiliates of M&A Securities Group.

Think of Us as Your Compliance Department Down the Hall

4151 N. Mulberry Drive, Suite 252
Kansas City, MO 64116
Tel: 816-888-7920

Member of FINRA / SIPC


Copyright M&A Securities Group, Inc. All rights reserved.

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