Who We Serve

Registered Representatives

Broker/Advisor Solutions

Discover how to obtain the maximum support for your business as an independent registered representative of Mid Atlantic Capital Corporation (a registered broker/dealer), and if you conduct fee business, also as an Investment Advisor Representative of Mid Atlantic Financial Management, Inc., a registered investment advisor (RIA).

“Going independent” and staying that way needn’t be an overwhelming task. You can have the rewards of running your own business, and complete ownership of it and your book while getting the support you need from our infrastructure.  Choosing to register with both our broker/dealer and our corporate RIA affords you the most comprehensive compliance, operations, and product support that we have available. “Outsourcing” these functions allows you to concentrate on your clients and grow your practice while leaving the details to us.

You can choose products and services that are right for your practice from the extensive and continually developing list of what we have to offer. Or, you can choose to operate more autonomously, leaving us to process your business and handle back office functions.

We have 30+ years experience supporting a wide variety of broker/advisor business models:

  • High net worth wealth managers
  • 401k/retirement plan specialists
  • Advisors managing their own equity, fixed income, ETF, and mutual fund strategies
  • Institutional brokers processing transactions for banks, broker/dealers, trust companies and investment managers with full trading support from our desks
  • Asset allocation specialists utilizing third party managed platforms – separate accounts, mutual fund strategies, and ETF based strategies

We invite you to explore our independent broker/advisor solutions. You may also contact any member of our recruiting team to get help with any questions that you have or requests for further information.