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Current Employers
Mma Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2019-04-01
  • MO RA
    APPROVED
    Since 2019-04-01

Branch Locations

Chesterfield, MO • United States

6160 Golden Hills Drive, Minneapolis, MN 55416 • 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
Lpl Financial St. Louis MO 03/2013 04/2019
Mma Agency St. Louis MO 04/2019 Present
Mma Securities Llc St. Louis MO 04/2019 Present
  • 03/2013 → 04/2019
    Lpl Financial
    St. Louis, MO
  • 04/2019 → Present
    Mma Agency
    St. Louis, MO
  • 04/2019 → Present
    St. Louis, MO
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-05-13
S63 Uniform Securities Agent State Law Examination 2013-04-23
  • S65 Uniform Investment Adviser Law Examination
    2013-05-13
  • S63 Uniform Securities Agent State Law Examination
    2013-04-23

View on SEC IAPD

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