# MMA Securities LLC

> 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.

- CRD: 44254
- Filed as: MMA SECURITIES LLC
- Also doing business as: COMPASS FINANCIAL PARTNERS, MMA RETIREMENT & WEALTH, PRECEPT ADVISORY GROUP LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: June 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/44254
- AdvisorCensus page: https://advisorcensus.com/firm/mma-securities-llc-new-york-ny-44254

## Quick answers

**How is MMA Securities LLC compensated?**
On its Form ADV (Item 5.E, October 2026), MMA Securities LLC reports these compensation arrangements: fixed fees (other than subscription fees); commissions; other. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is MMA Securities LLC located?**
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).

**Is MMA Securities LLC registered with the SEC or a state?**
MMA Securities LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 44254.

**How have MMA Securities LLC's assets and staff changed since 2021?**
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.

**What types of clients does MMA Securities LLC serve?**
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).

**Does MMA Securities LLC report any disciplinary disclosures?**
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

**What changed in MMA Securities LLC's recent Form ADV filings?**
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.

## From the Form ADV filing

### Compensation (Item 5.E)
- Fixed fees (other than subscription fees)
- Commissions
- Other

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 2,528 | $0 |
| State or municipal government entities (including government pension plans) | 21 | $0 |
| Other | 8,290 | $0 |

### Advisory services (Item 5.G)
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other

### Firm details
- Registered since: 2015 (11 years)
- Employees: 211 total, 164 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(1): 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?
- 11.D(4): 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?
- 11.E(2): 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?
- 11.E(4): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/44254

### Other offices (Schedule D, Section 1.F), as of the July 2026 filing
- Aliso Viejo, CA
- Alpharetta, GA
- Austin, TX
- Boston, MA
- Charlotte, NC
- Chicago, IL
- Conshohocken, PA
- Dallas, TX
- Dayton, OH
- Fargo, ND
- Greensboro, NC
- Leawood, KS
- Lexington, KY
- McLean, VA
- Midland, TX
- Minneapolis, MN
- New York, NY
- Palm Beach, FL
- Portland, ME
- Raleigh, NC
- Saddle Brook, NJ
- San Diego, CA
- San Francisco, CA
- Savannah, GA
- Schaumburg, IL
- St. Louis, MO
- Troy, MI
- Virginia Beach, VA
- Walnut Creek, CA

### Websites listed on Form ADV (Item 1.I)
- compassfp.com
- marshmma.com/offerings/retirement-services
- marshmmamidwest.com
- mmaprosperwise.com
- preceptadvisory.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | Not reported | 133 | March 29, 2021 |
| October 2022 | Not reported | 141 | August 19, 2022 |
| October 2023 | Not reported | 169 | June 5, 2023 |
| October 2024 | Not reported | 181 | June 12, 2024 |
| October 2025 | Not reported | 179 | June 6, 2025 |
| October 2026 | Not reported | 211 | June 30, 2026 |

Total employees: 133 in October 2021 and 211 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- 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.

### December 2025
- Registered or notice-filed in PR.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. MMA Securities LLC (CRD 44254): Form ADV filing data as of October 2026.