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    Mutual’s Models – Brokerage and Hybrid Solutions

    We cater to a unique type of financial advisor, an advisor who knows where they're heading
    with full confidence they’ll achieve their goals. Our representatives are all independent,
    well-focused entrepreneurs. We differ from most traditional firms in that we are
    not sales coaches or product promoters. Within the independent channel, we currently
    support several specialized business models. See if one of the models listed below
    sounds like your business or the direction you are heading.

Hybrid Models

Hybrid Practice – Brokerage & Your Own RIA

  • Nobody serves the hybrid market better than we do. A pretty bold statement to be sure, but we’ve had the opportunity to perfect our hybrid offering over the span of the past two decades.
  • Over 65% of our producing registered representatives are dually registered with an RIA. Most of our dual registrants complement their fee-based business with a commission-based offering involving general securities, mutual funds or insurance, giving their clients the best of all worlds.
  • Unlike most broker/dealers, we don’t ask to participate in the fees your RIA generates.
  • Our unique professional liability policy covers both your commission and fee-based activities, saving most advisors thousands of dollars in annual insurance premiums.
For more information, take a look at our different hybrid models.

Hybrid Practice – Brokerage & Mutual Advisors

  • If you like the hybrid concept, offering a mix of commission and fee-based services, but you are hesitant to go through the regulatory hassles necessary to register and run your own RIA firm, then take a look at Mutual Advisors.

Independent Brokerage Models

Retail Brokerage

  • Over the years, we have attracted traditional brokers who love the markets and know how to pick stocks and bonds.
  • More than two-thirds of our revenues are generated from general securities transactions. This is our number one business; this is not a sideline for us.
  • Many firms coerce their reps into selling proprietary and packaged products, not wanting to invest in compliance resources to supervise general securities sales activities. We are not only comfortable supervising this type of business, we embrace it.
  • If you offer bonds to your clients, there is never a shortage of inventory sources or ideas at Mutual; we deal with over 70 independent fixed income trading desks and intermediaries.
  • Access to our online systems makes operations and record retention a breeze – you want to focus on your clients and getting paid for your effort, not on recordkeeping.
  • Even the most cautious, risk-adverse clients will recognize the Fidelity name and trust the firm with custody of their securities.

Institutional Brokerage

  • Our firm is unique in that we offer a way for an institutional broker to hang out their own shingle and operate from any location. If you tire of making a daily commute to a downtown, high-rise and sit on a trading desk with dozens of others, going independent may be a good solution for you.
  • Our institutional division has been supporting institutional brokers since the early the 90s.
  • Whether you are a sell-side equity trader offering your services to hedge funds and mutual funds or offer fixed income to municipalities and trust departments, our trading facilities and strong back office will give you the competitive edge you need.

Insurance Brokerage

  • Our list of over 50 insurance companies is growing all the time to accommodate demands for new innovative insurance products.
  • Mutual Securities never takes an additional bite out of your variable annuity and life insurance commission revenues. Many broker/dealers capture additional overrides, marketing general agent fees or have other hidden arrangements to distribute a carrier’s products. That’s not us.
  • We permit all traditional life insurance business* to be done as an approved outside business activity; and no, we do not take a share of those commission revenues. (* Excluding any variable securities products and equity indexed annuities.)
  • Specialized underwriting services are available for even the most complex variable life submissions.
  • Our professional liability policy covers your life and annuity business, so you don’t have to obtain separate coverage.

Independent Fee-Based Advisor Model

Mutual Advisors Opportunities


Mutual Securities has been offering hybrid services to dual registrants for over 35 years. We offer a variety of tailored-made solutions that adapt to the needs of RIA practices and their clients.


Client Services :
+1 (800) 750-7862

Recruiting :
+1 (800) 525-3600

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