bringing you a more personalized financial services...

Bringing You A More Personalized Financial Services Experience.

©2015 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 andbuilding your trust before we ever talk about our offerings. Our advisors all adhere to a strong ethical code whichaffirms their commitment to investor protection, suitability of investments and full disclosure. We are unique in that we have an affiliation with Asset Marketing Systems, a premier FMO. This enables you to maximize 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 Madison, you’ll find we are all are committed to a consistent theme:

professionalism, integrity, product innovation

and personal attention.


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

OUR BUSINESS PLATfORmAs 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. Madison 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:


©2015 Pershing LLC. All rights reserved. Pershing LLC is a wholly owned subsidiary of The Bank of New York Mellon Corporation (BNY Mellon).

Pershing LLC, member FINRA, NYSE, SIPC. Trademarks belong to their respective owners. Pershing LLC and Madison Avenue Securities LLC 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.

•Multiplefee-basedplatforms •PublicandPrivateREITs;TradedandNon-Traded •Stocks,Bonds •Mutualfunds,UITs,529Plans •VariableLife&Annuities •IndexlinkedCDsandNotes •1031Exchangeeligibleinvestments •Oil&GasDrillingorRoyaltyPrograms •PrivatePlacements,LPs •AndMore

IS mADISON 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.

Madison looks for advisors that have the experience of working closely with people— professionals who are planners who are able to field questions with knowledgeable answers and do the necessary follow-up in order to meet the needs of both prospects and clients. Are you an ideal Madison 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• Technology platforms that include CRM, client portals, financial planning, consolidated

reporting and performance


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

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PARTNERING WITH mADISON

We know that your time is money and you don’t want to spend it waiting around the office tohear back from your broker-dealer. You can count on quick resolution of your problems, proactive updatesonproductsandpendingbusiness;thesupportyouneedfromsomeofthetoptalentintheindustry.TheMadisonManagement,OperationsandComplianceTeamsbringawealthofexperience 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 financialprofessionalslookforinabroker-dealer,looknofurther.Conductingbusinesswith Madison Avenue Securities is easier than you may think.



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RegisteRed RepResentative

Commissions

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

FinRa

investmentadvisoRRepResentative

Fees only

advisory services(through madisonavenue securities advisory programs)

seC

dually RegisteRed advisoR

Fees andCommissions

advisory servicesand securities transactions

FinRa and state

Revenue

services

Registration

THE mADISON AVENUE SECURITIES BUSINESS PLATfORm



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THE mADISON AVENUE SECURITIES BUSINESS PLATfORm INSURANCE fmO fRIENDLY



Madison Offers ChoicesAre you currently affiliated with a Field Marketing Organization (“FMO”) and/or Insurance Marketing Organization (“IMO”)? Or maybe you’re just thinking about it.

We invite you to:

•ExploretheexceptionalbenefitsofouraffiliatedFMO

and have a full-service experience. Our partners can create customized business plans, provide loyalty programs and individualized training and coaching. When you work with us you gain access to some of the best professionals in the industry.

•BringyourcurrentFMOrelationshipalongsideMadison. We work with your FMO support team to ensure timely compliance review of marketing and sales materials and we keep your practice moving forward.

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.

Callustoll-freeat888-627-7323.

15050AvenueofScience,Suite150,SanDiego,CA92128www.mas-bd.com


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