INFOrmation FOR ADVISORS
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.
How to Become Registered with MAS
Enter your name and email and we will send you a pdf: "Registering with MAS"
*What if my business is ready to register as a broker-dealer? How can we continue to rely on MAS?
How can MAS help my existing broker-dealer?
*Assistance with the FINRA membership process is currently only being offered to existing affiliates of M&A Securities Group.