Associated Securities Corp.

Associated Securities Corp. operates as a security broker/dealer in United States of America. The company offers transition support services, such as preparing and assisting in processing ACAT transfers, new account forms, bulk transfer forms, orders business cards and stationery, and notifications to insurance companies of broker/dealer appointments or changes and business processing; investment research services; and regional managers to provide supervision, industry/company best practices information, transition support, and training. It also provides on-site compliance reviews, ongoing compliance education, compliant marketing and sales tools development, and information on regulatory developments, as well as other compliance support, such as anti-money laundering, cash/non-cash compensations, complaints, correspondence/advertising reviews, books and records, FINRA registration/licensing, outside business activities reviews, state insurance appointments, and regulatory updates. In addition, the company offers e-services, technology troubleshooting, and phone and email support; and financial services outsourcing solutions and financial product distributions. Further, it provides brokerage services for various investment instruments and programs, such as stocks, U.S. government securities, corporate bonds, tax free municipal bonds, money market accounts and certificates of deposits, mutual funds, insurance and annuities, and investment advisory services. The company was founded in 1982 and is based in El Segundo, California. Associated Securities Corp. operates as a subsidiary of Associated Financial Group, Inc.