{
  "crd_number": 44254,
  "slug": "mma-securities-llc-new-york-ny-44254",
  "primary_business_name": "MMA SECURITIES LLC",
  "legal_name": "MMA SECURITIES LLC",
  "dbas": [
    "COMPASS FINANCIAL PARTNERS",
    "MMA RETIREMENT & WEALTH",
    "PRECEPT ADVISORY GROUP LLC"
  ],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2015-07-07",
  "years_registered": 11,
  "period": "2026-10-01",
  "filing_date": "2026-06-30",
  "carried_forward": false,
  "raum_total": null,
  "raum_discretionary": null,
  "raum_non_discretionary": null,
  "raum_band": "not_reported",
  "raum_band_label": "Not reported",
  "total_employees": 211,
  "advisory_employees": 164,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 8290,
      "description": "PLAN PARTICIPANTS"
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 21
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 2528
    }
  },
  "compensation_types": [
    "commissions",
    "fixed",
    "other"
  ],
  "advisory_activities": [
    "educational_seminars",
    "other",
    "pension_consulting",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 4,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://compassfp.com",
    "https://marshmma.com/offerings/retirement-services",
    "https://marshmmamidwest.com",
    "https://mmaprosperwise.com",
    "https://preceptadvisory.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/44254",
  "disclosure_items": [
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/mma-securities-llc-new-york-ny-44254",
  "display_name": "MMA Securities LLC",
  "summary": "MMA Securities LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2015, with no regulatory assets under management reported in its Form ADV filing dated June 30, 2026.",
  "citation": "AdvisorCensus. MMA Securities LLC (CRD 44254): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "Fixed fees (other than subscription fees)",
    "Commissions",
    "Other"
  ],
  "advisory_activity_labels": [
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)",
    "Educational seminars/workshops",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is MMA Securities LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), MMA Securities LLC reports these compensation arrangements: fixed fees (other than subscription fees); commissions; other."
    },
    {
      "q": "Where is MMA Securities LLC located?",
      "a": "MMA Securities LLC's principal office is in New York, NY, according to its Form ADV; the July 2026 filing also lists 29 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is MMA Securities LLC registered with the SEC or a state?",
      "a": "MMA Securities LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 44254."
    },
    {
      "q": "How have MMA Securities LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for MMA Securities LLC: Total employees: 133 in October 2021 and 211 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does MMA Securities LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: other (8,290); pension and profit sharing plans (but not the plan participants or government pension plans) (2,528); state or municipal government entities (including government pension plans) (21)."
    },
    {
      "q": "Does MMA Securities LLC report any disciplinary disclosures?",
      "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(4) (another regulator's order in the past ten years), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/44254"
    },
    {
      "q": "What changed in MMA Securities LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Added the business name Precept Advisory Group LLC. Employees performing advisory functions went from 110 to 164. Changed its office addresses in Aliso Viejo, CA. Changed its office addresses in Chicago, IL. Changed its office addresses in Dallas, TX. Changed its office addresses in Fargo, ND. Changed its office addresses in Minneapolis, MN. Changed its office addresses in Palm Beach, FL. Changed its office addresses in Raleigh, NC. Changed its office addresses in Virginia Beach, VA. Added an office in Savannah, GA. No longer lists an office in Hartford, CT."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 133,
      "filing_date": "2021-03-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 141,
      "filing_date": "2022-08-19"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 169,
      "filing_date": "2023-06-05"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 181,
      "filing_date": "2024-06-12"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 179,
      "filing_date": "2025-06-06"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 211,
      "filing_date": "2026-06-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Added the business name Precept Advisory Group LLC.",
        "Employees performing advisory functions went from 110 to 164.",
        "Changed its office addresses in Aliso Viejo, CA.",
        "Changed its office addresses in Chicago, IL.",
        "Changed its office addresses in Dallas, TX.",
        "Changed its office addresses in Fargo, ND.",
        "Changed its office addresses in Minneapolis, MN.",
        "Changed its office addresses in Palm Beach, FL.",
        "Changed its office addresses in Raleigh, NC.",
        "Changed its office addresses in Virginia Beach, VA.",
        "Added an office in Savannah, GA.",
        "No longer lists an office in Hartford, CT."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Registered or notice-filed in PR."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/mma-securities-llc-new-york-ny-44254.md",
  "clients": [
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 2528,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 21,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 8290,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/44254",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}