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Current Employers
Mma Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2024-01-02
  • MN RA
    APPROVED
    Since 2024-01-02

Branch Locations

6160 Golden Hills Drive, Minneapolis, MN 55416 • 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
Lpl Financial Minneapolis MN 03/2014 Present
Mma Agency Minnieapolis MN 03/2017 Present
Mma Securities Llc Minnieapolis MN 09/2017 Present
  • 03/2014 → Present
    Lpl Financial
    Minneapolis, MN
  • 03/2017 → Present
    Mma Agency
    Minnieapolis, MN
  • 09/2017 → Present
    Minnieapolis, MN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-11-13
S63 Uniform Securities Agent State Law Examination 2011-03-26
  • S65 Uniform Investment Adviser Law Examination
    2023-11-13
  • S63 Uniform Securities Agent State Law Examination
    2011-03-26

View on SEC IAPD

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