Mutual Securities, Inc.

Description

Advanced Regulatory Compliance, Inc. (ARC) is a national full-service investment advisory compliance consulting firm backed by its association with The Law Offices of Patrick J. Burns, Jr., P.C., a securities law firm. The explosive growth of the investment advisory business over the past few years created a need for a firm such as ARC to help investment advisors deal with their ever increasing compliance obligations in a challenging regulatory environment. ARC provides practical solutions to complex compliance issues.

Mutual Securities, Inc. is proud to offer one of the industry's most competitive compensation structures. Too often, advisors make the mistake of chasing payout and low ticket clearing costs and assuming all broker/dealers offer comparable services. Nothing could be further from the truth. In order to provide the highest level and sophistication of services possible, the broker/dealer must be profitable. We provide our advisors the highest payout and lowest clearing costs possible without compromising our commitment to service excellence or comprehensive protection.

With our unique client services approach, turn-key technological innovations, high payouts coupled with low ticket charges, marketing support, and a skilled compliance team, we can provide you with the tools you need to succeed in this new market. With over $1 billion in assets under management, 23 years of experience, and a strong entrepreneurial corporate culture, you can sleep well knowing that Mutual Securities, Inc. will be here to serve your specific business needs for many years to come.

MSI is headquartered in Camarillo CA. We strive each day to provide our advisors with true personalized services. With a ratio of 1 back office employee for every 4.5 advisors, our back office staff and management provides proactive services and solves outstanding issues in minutes, not days or weeks. Our state-of-the-art technology allows you to communicate with the home office, manage client contact information and automate office tasks.

2. Will my current firm come after me when I resign? The type of action your current firm may or may not take will depend on many factors. We have a relationship with several outside legal firms that have years of experience assisting financial advisors transition to a new firm. They will provide you with a confidential, complimentary telephone consultation to discuss your particular situation, advise you as to what you might expect and suggest an appropriate exit strategy. If you have a copy of your contract, they will review it with you at that time.

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