M&A Securities Group
M&A Securities Group is a privately-held, SEC- and FINRA-registered broker-dealer that provides regulatory sponsorship, Series 79/82 licensing, and full-service compliance supervision to independent middle-market M&A advisors operating across more than thirty U.S. locations.
- Company typePrivate
- Founded-
- HeadquartersKansas City, United States
- Headcount51–100
- GTM typeB2B
- OfferingServices
What M&A Securities Group does
M&A Securities Group, Inc. (MAS) is a privately-held broker-dealer registered with the SEC, FINRA, SIPC, and the majority of U.S. state securities commissions. The firm is purpose-built to license and supervise independent, experienced middle-market M&A advisors whose work requires securities-related registrations. MAS provides Series 79, 82, 7, and 24 licensing sponsorship, supervisory oversight, regulatory filings, email and social media archiving, continuing education administration, and a full-service compliance department to affiliated independent contractors operating across more than thirty U.S. locations. As of the most recent data, the platform supports over 80 affiliated middle-market advisors. The Kansas City, Missouri headquarters is staffed entirely by non-producer compliance and operations personnel—a deliberate structural choice the firm uses to differentiate its compliance focus from revenue-generating retail broker-dealer models.
The firm's revenue model is transaction fee sharing: when a securities-related M&A transaction closes, the client pays a fee to the broker-dealer, a nominal FINRA and SIPC assessment is deducted, and the remainder is split between MAS and the affiliated independent contractor advisor according to a written agreement. MAS does not publicly disclose fee schedules or pricing terms. The platform is segmented horizontally: the primary customer segment is middle-market M&A advisors requiring broker-dealer sponsorship, and the secondary segment is existing FINRA member firms seeking M&A-specific compliance support. Additional service lines include a Broker-Dealer Evolution pathway that guides successful affiliates toward establishing their own FINRA-registered broker-dealer.
MAS's go-to-market is relationship-driven and low-cost: industry events (notably ACG Kansas City), content marketing through M&A market-update blogs, and direct outreach to advisors transitioning from large banks to boutique practices. The firm operates no proprietary technology product; its infrastructure consists of standard financial industry tools for compliance, electronic record retention, and business continuity. No external funding, parent company, or institutional investors are disclosed, and the company is owned and operated by its founder/management team under President & CCO Jessica Pastorino.
M&A Securities Group firmographics
Firmographics- Name
- M&A Securities Group
- Legal name
- M&A Securities Group, Inc.
- Website
- https://securities-group.com
- Company type
- Private
- Operating status
- Operating
- Headcount range
- 51–100 employees
- Short description
- M&A Securities Group is a privately-held, SEC- and FINRA-registered broker-dealer that provides regulatory sponsorship, Series 79/82 licensing, and full-service compliance supervision to independent middle-market M&A advisors operating across more than thirty U.S. locations.
- Ownership category
- akta.pro rank
M&A Securities Group industry classification
Industry- Product category
- Broker-Dealer Services
- NAICS
- Investment Banking and Securities Intermediation (523150), Securities and Commodity Contracts Intermediation and Brokerage (5231)
- SIC
- Security Brokers, Dealers & Flotation Companies (6211)
- akta.pro primary industry
- M&A Advisory (Buy-Side & Sell-Side) (BPAHAOAA)
- akta.pro secondary industries
- Industry-Specialist / Sector-Focused M&A Advisory (FSAEAGAJ), Capital Markets Advisory (IPO Readiness, SPAC, ECM/DCM Advisory) (BPAHAOAL)
Keywords
Where M&A Securities Group is headquartered
LocationHeadquarters
- HQ city
- Kansas City
- HQ country
- United States
- HQ region
- North America
Offices1 record
Markets served
M&A Securities Group business model
Business model- GTM type
- B2B
- Offering type
- Services
- Cost components
- Personnel, Operations, Technology or R&D, Marketing or Sales, Infrastructure, Others
Revenue model
- Transaction fee sharing: When securities-related transactions close, fees are paid by the client to the broker-dealer. A nominal FINRA and SIPC assessment is deducted, and the broker-dealer shares in the remaining fees in accordance with written agreements with independent contractors. Representatives receive a 1099 for income paid to them.
Go-to-market motion2 records
Distribution channels1 record
Marketing channels3 records
M&A Securities Group product offering
Product offeringCore offering
M&A Securities Group operates as a registered broker-dealer (SEC, FINRA, SIPC) that sponsors Series 79, 82, 7, and 24 licensing for independent middle-market M&A advisors and boutique investment banks. The firm provides back-office compliance services including supervisory oversight, regulatory filings, email and social media archiving, continuing education administration, and business continuity support, enabling advisors to focus on deal execution while MAS handles securities compliance.
Product overview
M&A Securities Group is a broker-dealer platform providing regulatory compliance services exclusively for middle-market M&A advisors and boutique investment banks. The company's core offering is its broker-dealer platform (MAS), which sponsors independent contractors through FINRA licensing (Series 79, Series 7, Series 62) and provides comprehensive compliance oversight. The platform is complemented by dedicated compliance department services, including supervisory control, regulatory filings, and business continuity support. Additional services include FINRA member firm compliance assistance and evolution pathway support for affiliates seeking to establish their own broker-dealer. The firm positions itself as a 'compliance department down the hall' for its registered representatives.
Differentiator
Problem solved
Functional benefit
Products and services
- Broker-Dealer Platform for Middle-Market M&A Advisors A registered broker-dealer platform that licenses middle-market M&A advisors, providing Series 79 and Series 7 sponsorship, compliance support, and regulatory oversight for independent contractor advisors engaged in securities-related M&A advisory services.
- Compliance Department Services Full-service compliance support including regulatory filings, supervision of registered representatives, email archiving, business continuity planning, and FINRA rule compliance for member firms engaged in M&A activities.
- Series 79 Sponsorship and Licensing Licensing sponsorship for the FINRA Series 79 exam, enabling investment banking professionals to conduct M&A advisory and securities-related services under the broker-dealer umbrella.
- Independent Contractor Broker-Dealer Platform A platform for boutique M&A advisory firms and investment banks to operate as independent contractors under the MAS broker-dealer, with customized compliance approaches tailored to middle-market M&A advisory practices.
- Compliance Assistance for FINRA Member Firms Support services for existing FINRA member firms engaged in M&A activities, providing compliance guidance and assistance with the FINRA membership process.
- FINRA Broker-Dealer Evolution Services Guidance for advisors whose businesses are ready to register as a broker-dealer, including support through the FINRA membership application process for existing MAS affiliates.
Companies that use M&A Securities Group
Customer profileSegments2 records
Ideal customer profiles2 records
M&A Securities Group technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
M&A Securities Group partnerships and signals
Strategic signalPartnerships
Twelve partnerships are on record, tiered minor and core.
- Skyline AdvisorsminorSkyline Advisors publishes deal announcements on the MAS platform. They are a lower middle market M&A acquisition and mergers advisor that conducts transactions under MAS's broker-dealer umbrella.
- Paddock Capital MarketsminorPaddock Capital Markets publishes deal announcements on the MAS platform, acting as financial advisors on middle-market M&A transactions conducted under the MAS broker-dealer.
- Charter Capital PartnersminorCharter Capital Partners, a Grand Rapids, Michigan-based investment bank, publishes deal announcements on the MAS platform. They serve as exclusive M&A advisors on transactions conducted under MAS's broker-dealer platform.
- ClearRidge CapitalminorClearRidge Capital publishes deal announcements and M&A market analysis articles on the MAS platform. They serve as M&A advisors on transactions conducted under the MAS broker-dealer umbrella.
- Ridgecrest AdvisorsminorRidgecrest Advisors publishes deal announcements on the MAS platform, acting as M&A advisors on transactions facilitated through the MAS broker-dealer.
- PL AdvisorsminorPL Advisors publishes deal announcements on the MAS platform, announcing transactions where they represented clients in deals conducted under the MAS broker-dealer.
- SLATE PartnersminorSLATE Partners publishes deal announcements on the MAS platform, serving as M&A advisors on transactions conducted under the MAS broker-dealer.
- Bridgepoint Investment BankingminorBridgepoint Investment Banking publishes deal announcements and market reports on the MAS platform. They act as financial advisors on various transactions facilitated through the MAS broker-dealer.
- Morgan Kingston AdvisorsminorMorgan Kingston Advisors publishes deal announcements on the MAS platform, acting as M&A advisors on transactions facilitated through the MAS broker-dealer.
- FINRAcoreM&A Securities Group is a broker-dealer registered with and subject to regulation by the Financial Industry Regulatory Authority (FINRA). MAS holds FINRA membership and operates under their regulatory oversight.
- SIPCcoreM&A Securities Group is a member of the Securities Investor Protection Corporation (SIPC), providing customer protection in the event of broker-dealer insolvency.
- SECcoreM&A Securities Group is registered with the Securities and Exchange Commission (SEC) as a broker-dealer.
Scale indicators2 records
Recent moves6 records
Expansion highlights5 records
M&A Securities Group competitors and assessment
Company assessmentDirect peers
- Taglich Brothers: Small broker-dealer specializing in research, investment banking, and capital raising for small and mid-cap companies. Comparable to MAS as a niche broker-dealer supporting independent investment banking activities.
- National Securities Corporation: Long-standing smaller broker-dealer providing investment banking and capital markets services to middle-market issuers and advisors. Comparable to MAS in offering a sponsor-style platform for advisors needing FINRA infrastructure outside of bulge-bracket firms.
- Spartan Capital Securities: Small/mid-sized broker-dealer offering investment banking, institutional sales, and trading services. Comparable to MAS as a smaller-scale broker-dealer supporting independent financial professionals and corporate advisory mandates.
- Alexander Capital Group: Small, New York-based broker-dealer offering investment banking and capital raising services with a similar independent-contractor / boutique advisory model. Comparable to MAS in targeting advisors needing sponsorship and compliance infrastructure rather than retail brokerage.
- Chardan Capital Markets: Small full-service broker-dealer with active M&A advisory and capital markets businesses, including SPAC and growth-company focus. Comparable to MAS in offering boutique-style investment banking and securities services through a smaller broker-dealer platform.
- Maxim Group: Mid-sized full-service broker-dealer providing investment banking, institutional sales, and trading. Comparable to MAS in delivering securities and investment banking services through a smaller-scale FINRA member platform serving middle-market clients.
- WestPark Capital: Los Angeles-based broker-dealer providing investment banking, capital markets, and wealth management. Comparable to MAS in operating as a smaller broker-dealer with investment banking focus and independent advisor support.
- EF Hutton (formerly known as legacy May Davis / EF Hutton America): Smaller full-service broker-dealer offering investment banking, capital markets, and advisory services to middle-market companies. Comparable to MAS as a niche broker-dealer platform supporting independent advisor and corporate financing mandates.
- Axiom Capital Markets: Small broker-dealer and investment bank focused on capital raising and advisory services for middle-market companies. Comparable to MAS in serving boutique advisors and corporate clients seeking Series 79-level services.
Broad incumbents
- B. Riley Securities: Mid-sized broker-dealer and investment bank offering M&A advisory, capital markets, and research services with significantly broader scale and product breadth than MAS. Comparable as a FINRA member firm offering M&A-related services, but with retail, institutional, and wealth channels well beyond MAS's pure M&A niche.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat4 records
Key risks6 records
Key highlights6 records
Customer concentration
M&A Securities Group social profiles
Digital presenceM&A Securities Group compliance and trust
Trust signalCompliance4 records
M&A Securities Group financial estimates
Financial estimateRevenue estimate
Valuation estimate
M&A Securities Group leadership team
Management profileNumber of profiles
Profiles10 records
M&A Securities Group funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
M&A Securities Group M&A and investment
M&A and investmentM&A
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about M&A Securities Group
What does M&A Securities Group do?
M&A Securities Group operates as a registered broker-dealer (SEC, FINRA, SIPC) that sponsors Series 79, 82, 7, and 24 licensing for independent middle-market M&A advisors and boutique investment banks. The firm provides back-office compliance services including supervisory oversight, regulatory filings, email and social media archiving, continuing education administration, and business continuity support, enabling advisors to focus on deal execution while MAS handles securities compliance.
Is M&A Securities Group a public or private company?
M&A Securities Group is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was M&A Securities Group founded?
M&A Securities Group was founded in -1. It employs 51 to 100 people.
Where is M&A Securities Group based?
M&A Securities Group is headquartered in Kansas City, United States, in the North America region.
How does M&A Securities Group make money?
One revenue line is on record: transaction fee sharing.
Who are M&A Securities Group's main competitors?
Direct peers on record are Taglich Brothers, National Securities Corporation, Spartan Capital Securities, Alexander Capital Group, Chardan Capital Markets, Maxim Group, WestPark Capital, EF Hutton (formerly known as legacy May Davis / EF Hutton America) and Axiom Capital Markets. B. Riley Securities is listed as a broad incumbent.
Does M&A Securities Group have an API?
No public API is recorded for M&A Securities Group.
What industry is M&A Securities Group in?
M&A Securities Group's product category is Broker-Dealer Services. Its primary akta.pro industry code is BPAHAOAA, M&A Advisory (Buy-Side & Sell-Side), with a secondary code of FSAEAGAJ, Industry-Specialist / Sector-Focused M&A Advisory. Its NAICS code is 523150 and its SIC code is 6211.