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Erik Pflaum

Mma Securities LLC

San Diego, CA

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Current Employers
Mma Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-05-23
  • CA RA
    APPROVED
    Since 2018-05-23

Branch Locations

9171 Towne Centre Drive Suite 100, San Diego, CA 92122 • 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, Llc Portland OR 01/2016 08/2017
Preisz Financial Portland OR 01/2016 08/2017
Sagepoint Financial, Inc. San Diego CA 10/2017 07/2018
Marsh & Mclennan Agency San Diego CA 09/2017 Present
Preisz Financial Portland OR 01/2016 08/2017
Lpl Financial Portland OR 01/2016 08/2017
Sagepoint Financial, Inc. San Diego CA 09/2017 07/2018
Mma Securities Llc San Diego CA 07/2018 Present
  • 01/2016 → 08/2017
    Lpl Financial, Llc
    Portland, OR
  • 01/2016 → 08/2017
    Preisz Financial
    Portland, OR
  • 10/2017 → 07/2018
    Sagepoint Financial, Inc.
    San Diego, CA
  • 09/2017 → Present
    Marsh & Mclennan Agency
    San Diego, CA
  • 01/2016 → 08/2017
    Preisz Financial
    Portland, OR
  • 01/2016 → 08/2017
    Lpl Financial
    Portland, OR
  • 09/2017 → 07/2018
    Sagepoint Financial, Inc.
    San Diego, CA
  • 07/2018 → Present
    Mma Securities Llc
    San Diego, CA
Previous Registrations
  • 2018-06-20 → 2018-07-06
    Osaic Services, Inc.
    San Diego, CA
  • 2017-10-12 → 2018-06-18
    Osaic Services, Inc.
    San Diego, CA
  • 2012-11-09 → 2015-12-21
    Stancorp Investment Advisers, Inc.
    Portland, OR
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-06-28
S63 Uniform Securities Agent State Law Examination 2010-11-17
  • S65 Uniform Investment Adviser Law Examination
    2012-06-28
  • S63 Uniform Securities Agent State Law Examination
    2010-11-17
Designations
Other Names
  • Erik Timothy Pflaum

View on SEC IAPD

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Jeffrey Raymond Dockan
Arben Qirjazi
James Grandinetti
RYAN MAUL
JAMES T FARLEY
ASHLEY LYNN TESTER
Megan Polizzi

Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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