Program Management

Midwestern Securities Offers Full-service Program Management

What this means is that from Day One, we will manage the process to implement your Investment Services Division from the ground up or lead you through a stress-free broker/dealer transition for your existing Investment Services Division with our Total Transitions process.

If you don’t have an advisor, we will collaborate with your executive team to identify and recruit the ideal advisor for your institution. We also will assist you in designing a customized compensation package for your advisor. We will then provide a transition timeline that allows the advisor to be ready to perform on your start date. During this time, if needed, we will help your advisor with any licensing and moving of accounts when appropriate.

Before going live with Midwestern Securities, our Compliance Officers will perform a thorough compliance review to ensure your Investment Services Division meets the highest standards. We have a strong compliance history with the regulators and a compliance department that is fair, practical, and proactive. We view compliance as an asset, so it won’t be a burden to you.

Once your Investment Services Division is up and running with Midwestern Securities, our involvement doesn’t end there. We will assign a professionally licensed relationship manager so that you and your advisor always have timely and accurate support. We will continue to offer coaching/training for your advisors. Our leadership team also will provide your executive team with periodic updates on the progress of your Investment Services Division.

The success of your business is extremely important to us. We work hard and train your advisor to work hard so you don’t have to.

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Advisor Recruitment

Having the right advisor is key to the success of your Investment Services Division. When it comes to finding the right advisor, we have a great track record.

You need someone who will fit in with your institution’s unique culture. We give you the blueprints to help you identify and recruit the “ideal” candidate for your organization.
Our recruiting team will help do research, make calls, collect resumes, and run background and credit checks. Potential candidates are then taken through a phone and in-person interview series to help narrow the field. We will help you identify the top finalists and set up interviews with your leadership so you can choose the candidate who will be the best fit on your team.

The chosen candidate becomes a “dual employee” because they are contracted with both entities.

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Advisor Compensation

We encourage our partnering institutions to make their new financial advisor an employee of their institution versus an independent contractor. This will allow the advisor appropriate access to your existing customer base and ensure that the accounts are under your investment services division, should you need to find a new advisor.

We work with the Financial Institution leadership to design a customized compensation package that is made to fit the individual advisor and his or her situation. The Financial Institution may choose to pay the advisor a base salary plus incentive commissions on production, or simply a straight commission on business produced.

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Advisor Coaching

We offer the mentoring, monitoring, and support your advisor deserves. Once the right candidate has been selected, we will assist them with all licensing and moving of accounts to your platform as applicable. We will train your advisor to be a proactive business development team member.

New advisors receive regular coaching calls with our team of producers to make sure all questions are answered, and they are working to their highest ability. We also have several on-site training sessions per year and offer a resource library that allows advisors to gain knowledge that can help boost their skills and productivity.



We know what it takes to market your Investment Services Division. We offer a compliance-approved marketing program that includes everything you need to make your new services stand out and get noticed, including branding, logos, stationery, email marketing, social media page management, and advisor video production.

We can work with your existing marketing department or be your entire marketing department to ensure that all your account holders and community know about your exciting new Investment Services Division. We lay the groundwork so your advisor can focus on cultivating new relationships with clients and gathering new accounts.

Next Steps

Now that you know more about us and our unique program designed to GROW your non-interest income and PROTECT you from customer attrition, now is the time to engage us so we can begin the process of building the division your institution deserves.

You may be thinking that you are just too busy with other projects to start a new division, or that your community is too small to support this kind of business. Let us assure you that you are not the only financial institution with these reservations.

Being in the financial business, you know every minute counts. Every day you put off the decision to sign up with us, you lose non-interest income. In today’s economic environment, maximum revenue can’t be ignored.

If you are concerned with whether you have done your due diligence in searching for the right broker/dealer, don’t be. We can help you satisfy your requirements. Ask us about our prepared due diligence checklist to help you ensure you are taking the proper steps.

We’d also be happy to show you our compliance record and broker check.

So, stop delaying this source of income for your financial institution and sign an Engagement Letter with Midwestern Securities today.