Mutual Service Corporation: The Broker/Dealer

As an independent financial professional, I have selected Mutual Service Corporation (MSC) to act as my broker/dealer. MSC provides a team of financial product specialists and industry-leading technology services to its Registered Representatives and their staffs. These vital assets are used by me and my office staff to maximize coverage of product areas, receive updates on new products, investigate matters affecting existing products, adhere to planning strategies, and stay abreast of topics related to the industry, compliance, and economy.

MSC’s Compliance Department helps ensure that we have obtained the required education and licenses in the products we offer to help meet your individual financial goals, while enforcing strict application and interpretation of SEC, NASD, and State Securities Division rules and regulations.

MSC has operated as a trusted independent broker/dealer with unquestioned integrity since 1969. The firm endeavors to uphold strong business practices, and to maintain its steadfast commitment to your Registered Representative with the highest quality financial products available to help meet your longterm investment needs.

Pershing: The Clearing Broker

As your clearing broker, Pershing Investments, LLC provides expert execution, clearing services, and support of your securities trades through its strong presence on the New York and American Stock Exchanges and major exchanges worldwide. With more than 4,200 experienced people to support your needs, Pershing provides the resources and competitive advantages your financial organization needs to foster mutual success. The Pershing name has been synonymous with high-quality trade executions since 1939.

Pershing, which is a member of the Securities Investor Protection Corporation (SIPC), a consumer protection agency created by Congress in 1970, extends unlimited account protection to all its clients.

A unit of BNY Securities Group Co., a division of The Bank of New York, Pershing is a trusted custodian of more than $765 billion in assets and is backed by its BONY parent that has equity capital of $8 billion and total assets approaching $90 billion. Pershing becomes a familiar name to those with IRA brokerage accounts. When you see these names on your retirement account statements, be assured you have a strong and stable custodian working with you toward the long-term success of your retirement plans.