Seth Adam Fineman

Employer firm

Mma Securities LLC CRD 44254

10,839 advisory clients

Reported services (Item 5G)

• Pension consulting
• Selection of other advisers
• Educational seminars
• ADVISORY SERVICES TO RETIREMENT PLAN PARTICIPANTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2016 → 07/2018
  Transamerica Retirement Solutions
  Saint Louis Park, MN
• 03/2016 → 07/2018
  Transamerica Investors Securities Corporation
  Saint Louis Park, MN
• 07/2018 → 05/2019
  Unemployed
  Saint Louis Park, MN
• 05/2019 → 01/2021
  Principal Life Insurance Company
  Minnetonka, MN
• 05/2019 → 01/2021
  Principal Securities Inc.
  Minnetonka, MN
• 01/2021 → Present
  Mma Agency
  Minneapolis, MN
• 01/2021 → Present
  Mma Securities
  Minneapolis, MN

Previous Registrations

• 2019-06-04 → 2021-01-21
  Principal Securities, Inc.
  Minnetonka, MN
• 2016-03-08 → 2018-07-02
  Transamerica Retirement Advisors, Llc
  St Louis Park, MN
• 2014-10-14 → 2016-01-26
  Missionsquare Retirement
  St Louis Park, MN
• 2004-06-10 → 2009-06-26
  Strategic Advisers Llc
  Edina, MN

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

• S65 Uniform Investment Adviser Law Examination
  2002-09-19
• S63 Uniform Securities Agent State Law Examination
  1995-10-20