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Current Employers
Mma Securities Llc

1166 Avenue Of The Americas, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-04-11
  • CT RA
    APPROVED
    Since 2024-04-11

Branch Locations

Stamford, CT • United States

350 Madison Ave 7Th Floor, New York, NY 10017 • United States

101 Huntington Ave Suite 401, Boston, MA 02199 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Nfp 340 Madison Ave 20Th Floor NY 08/2019 02/2024
Transamerica Harrison NY 04/2017 07/2019
Table 9 Cortlandt Manor NY 05/2016 04/2017
Orange County Pools And Spas Mohegan Lake NY 05/2016 04/2017
Kestra Investment Services, Llc New York NY 11/2019 02/2024
Mma Securities Llc New York NY 02/2024 Present
Marsh Mclennan Agency New York NY 02/2024 Present
  • 08/2019 → 02/2024
    Nfp
    340 Madison Ave 20Th Floor, NY
  • 04/2017 → 07/2019
    Transamerica
    Harrison, NY
  • 05/2016 → 04/2017
    Table 9
    Cortlandt Manor, NY
  • 05/2016 → 04/2017
    Orange County Pools And Spas
    Mohegan Lake, NY
  • 11/2019 → 02/2024
    Kestra Investment Services, Llc
    New York, NY
  • 02/2024 → Present
    New York, NY
  • 02/2024 → Present
    Marsh Mclennan Agency
    New York, NY
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-04-11
S63 Uniform Securities Agent State Law Examination 2020-02-07
  • S65 Uniform Investment Adviser Law Examination
    2024-04-11
  • S63 Uniform Securities Agent State Law Examination
    2020-02-07
Other Names
  • Nicholas Sheridan

View on SEC IAPD

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