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Mma Securities LLC CRD 44254
10,839 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1166 Avenue Of The Americas, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-10-07 |
Branch Locations
9171 Towne Centre Drive Suite 100, San Diego, CA 92122 • United States
50 California Street, Suite 3050, San Francisco, CA 94111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | San Francisco | CA | 06/2016 | 05/2018 |
| Rbc Global Asset Management (U.S.) Inc. | San Francisco | CA | 06/2016 | 05/2018 |
| Mma Agency | San Diego | CA | 04/2019 | Present |
| Mma Securities Llc | San Diego | CA | 04/2019 | Present |
| Unemployed | San Francisco | CA | 05/2018 | 04/2019 |
(1) The Registered Representative is an employee of Marsh & McLennan Agency LLC ("MMA"), 1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities for MMA (e.g. support for its insurance services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities LLC activities remain subject to the Firm's supervisory framework. (2) CHARITIES HOUSING; ADDRESS: 1400 PARKMOOR AVE., STE 190, SAN JOSE, CA 95126; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 05/15/2018; CAPACITY: BOARD OF DIRECTORS; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-10-07 |
| S63 | Uniform Securities Agent State Law Examination | 2000-08-08 |
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