Bringing You A More Personalized Financial Services Experience.

Transcription

1 Bringing You A More Personalized Financial Services Experience. Member of FINRA & SIPC, and a Registered Investment Advisor

2 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 investment and full disclosure. We are unique in that we have an affiliation with Asset Marketing Systems, a premier FMO. This enables you to get the services of a large national broker-dealer and a dynamic marketing agency all under one roof, if you choose. As you get to know the people behind the scenes at MAS, you ll find they are all are committed to a consistent theme: professionalism, integrity, product innovation, and personal attention. 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 2013 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. 2

3 IS mas AN IDEAL fit for YOU? PARTNERING WITH mas 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. 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. 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: 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. 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 3 4

4 THE madison AVENUE SECURITIES BUSINESS PLATfORm madison AVENUE SECURITIES OffERING A UNIQUE RELATIONSHIP Revenue services RegisteRed RepResentative Commissions securities transactions (e.g., stocks, bonds, mutual funds, variable annuities, alternative investments) investment advisor RepResentative Fees only advisory services (through madison avenue securities advisory programs) dually RegisteRed advisor Fees and Commissions advisory services and securities transactions As a broker-dealer, we benefit in having an FMO partner. If you choose to take advantage of all of our offerings, Asset Marketing Systems can assist you with specialized marketing strategies based on your unique business profile. AMS offers 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. Registration FinRa state FinRa and state Avenue of Science, Suite 150, San Diego, CA 5 6

5 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 Member of FINRA & SIPC, and a Registered Investment Advisor Avenue of Science, Suite 150, San Diego, CA