bringing you a more personalized financial services experience. · 2018-11-21 · the madison...

Bringing You A More Personalized Financial Services Experience.

©2017 Madison Avenue Securities, LLC. All rights reserved. Financial Professional Use Only. Not for Use with the Public.

AN ADVISOR-CENTERED CULTURE

Founded in 2005, Madison Avenue Securities has redefined what a full-service, independent broker-dealer and RIA can do for financial advisors. When you meet with us, you’ll notice our immediate interest in developing great chemistry and building your trust before we ever talk about our offerings. Our advisors all adhere to a strong ethical code which affirms their commitment to investor protection, suitability of investments and full disclosure.

We are unique in that we are part of a family of companies that include three premier FMOs. This enables you to access the services of a national broker-dealer and the dynamic marketing capabilities of our partner FMOs, all in one seamless experience.

professionalism, integrity, product innovation,

and personal attention.

“©2017 Madison Avenue Securities, LLC. All rights reserved.

Financial Professional Use Only. Not for Use with the Public.

15050 Avenue of Science, Suite 150, San Diego, CA 888.627.7323www.mas-bd.com | 2

OUR BUSINESS PLATFORM

A boutique broker-dealer, we have access to thousands of products and services to meet your clients’ financial objectives, and since we are fully independent, there are no proprietary products or sales quotas. MAS encourages advisors to use products that best meet the needs of their clients – not that are most advantageous to the broker-dealer.

Madison Avenue Securities utilizes the clearing facilities of Pershing LLC, a BNY Mellon company.Pershing helps financial services firms and advisors succeed by providing the technology, operational, trading, investment, and practice management solutions they need to serve investors.

INVESTMENTS INCLUDING:

• Mutual funds, UITs, 529 Plans

• Variable Life & Annuities

• Stocks, Bonds

• Multiple fee-based platforms

• Index linked CDs and Notes

• Public and Private REITs; Traded and Non-Traded

• 1031 Exchange eligible investments

• Oil & Gas Drilling or Royalty Programs

• Private Placements, LPs

• And More


©2017 Pershing LLC, a subsidiary of the Bank of New York Mellon Corporation (BNY Mellon), member FINRA, NYSE and SIPC. Pershing

LLC and Madison Avenue Securities are separate unaffiliated companies that are not responsible for each other’s services or

policies. Trademarks, service marks and logos belong to their respective owners. All rights reserved. Used with permission.

IS MAS AN IDEAL FIT FOR YOU?

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You may be considered a securities broker and an insurance producer. You may also be an investment advisor and a financial planner. Whether you’re a wire house veteran ready to make some strategic innovations, an independent advisor looking for greater service and support, or a commissioned broker interested in developing a fee-based business model, how you choose to position yourself and your practice is of concern to us.

MAS looks for advisors that have the experience of working closely with people, professionals who are planners, able to field questions with knowledgable answers and do the necessary follow-up in order to meet the needs of both prospects and clients. Are you an ideal MAS advisor? If so, we can offer:

• Regular training opportunities to keep you at the cutting edge

• Education for your staff

• Efficient and effective compliance review of advertising, new business, product approvals

• Accessible and responsive management: no big corporate runaround!

• Multiple methods of regular communication to educate and inform

• A diverse and highly credentialed team to mentor with and help build best practices

• Business transition assistance


15050 Avenue of Science, Suite 150, San Diego, CA 888.627.7323www.mas-bd.com |

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PARTNERING WITH MAS

We know that your time is money and you don’t want to spend it waiting around the office to

hear back from your broker-dealer. You can count on quick resolution of your problems, proactive updates on products, pending business and the support you need from some of the top talent in the industry. The MAS Management, Operations and Compliance Team bring a wealth of experience

with long-term plans for responsible and sustainable growth — ours and yours.

If you’re ready to position yourself with an organization that has the characteristics top financial

professionals look for in a broker-dealer, look no further. Conducting business with Madison Avenue Securities is easier than you may think.



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REGISTERED REPRESENTATIVE

Commissions

SecuritiesTransactions(e.g., stocks, bonds,mutual funds, variable annuities, alternative investments)

FINRA

INVESTMENTADVISORREPRESENTATIVE

Fees Only

Advisory Services(through MadisonAvenue Securities advisory programs)

State

DUALLY REGISTERED ADVISOR

Fees andCommissions

Advisory Servicesand Securities Transactions

FINRA and State

Revenue

Services

Registration

THE MADISON AVENUE SECURITIES BUSINESS PLATFORM MADISON AVENUE SECURITIES – OFFERING A UNIQUE RELATIONSHIP



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THE MADISON AVENUE SECURITIES BUSINESS PLATFORM MADISON AVENUE SECURITIES – OFFERING A UNIQUE RELATIONSHIP

As a broker-dealer, we benefit in having FMO

partners. If you choose to take advantage of all of

our offerings, our FMO partners can assist you with

specialized marketing strategies based on your

unique business profile.



These partners offer customized business plans,

loyalty programs, and individualized training and

coaching. When you work with us, you gain access

to some of the best professionals in the industry.

Madison Avenue Securities Core Principles

• Financial Advisors are at the center, and everything

we do is designed to satisfy their needs.

• Fulfill commitments and operate with integrity.

• Openly communicate the reason behind decisions

and procedures.

• Seek simplicity in all of our services.

• Operate with a sense of urgency.

• E verything we do recognizes our responsibility

to the client.

Call us toll-free at 888-627-7323.

15050 Avenue of Science, Suite 150, San Diego, CA 92128www.mas-bd.com


bringing you a more personalized financial services experience. · 2018-11-21 · the madison...

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