Mma Securities LLC

CRD#44254
Investment Advisor Firm

Answer a few questions and
get matched with an advisor.

Find an Advisor

Overview

Mma Securities LLC operates as an advisory company headquartered in New York, New York. It has a large group, including 87 financial advisors. Mma Securities LLC does not act as a registered broker-dealer, meaning the company cannot buy and sell securities for its own accounts as well as its clients' and instead is required to go through a broker-dealer company to do so. Securities are defined as exchangable fiscal assets like options, equities and bonds.



The company's main office is at 1166 Avenue Of The Americas, New York, New York 10036. It is allowed to provide services to investors across 51 U.S. states and territories.

Editorial note: In certain cases, advisors and firms are able to file as exempt reporting advisors with the SEC, meaning they file a shorter version of the Form ADV. As a result, this is all of the available information for Mma Securities LLC. Please visit the SEC website for more information at https://www.sec.gov

Number of Advisors

87

Disclosures

No

Office Location

1166 Avenue Of The Americas
New York, NY 10036

Mma Securities LLC by the Numbers

Total Number of Employees

169

National Average: 64
Back to Overview
Back to Overview

Products and Services

Mma Securities LLC provides a number of services, which can consist of pension consulting services, selection of other advisers, educational seminars and other services. Notably, Mma Securities LLC did not provide any of its customers with financial planning services in the last fiscal year. It is engaged in selling products or offering services aside from investment advice to its clients. The company is also affiliated with a number of other companies in the financial services industry, including with a broker-dealer or securities dealer, insurance company or agency, pension consultant and commodity pool advisor.

Core Advisor Services

  • Find a firm that offers this service

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Find a firm that offers this service

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 20% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

  • Find a firm that offers this service

    Publication of Periodicals

    This is the publication of various financial education materials.

  • Offered by 6% of firms

    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

Back to Overview

Fee Structure

Fees for financial management usually are based on which services are offered. However, fees charged by the firm may include the following fee types: hourly, fixed, commission-based or other. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the company.

Available

  • Offered by 21% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 1% of firms

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Offered by 32% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Offered by 10% of firms

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

Unavailable

  • Find one of the 69% of firms that offer this fee type

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Find one of the 26% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 0% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

Back to Overview

Types of Clients

The company works with pension plans, state or municipal government entities and other. Mma Securities LLC's biggest client group is other. None of the firm's accounts are from outside of the U.S.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 0%
  • Corporations - 100%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

Find an advisor who will work directly with you

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Disclosures

Mma Securities LLC does not have any disclosures.

Please visit its Form ADV for more details.

Back to Overview
Back to Overview

Find a financial advisor near you

If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.

Back to Overview

Financial Advisors at Mma Securities LLC

Gary Reding
Chesterfield, MO
Melissa Lacey
San Diego, CA
Michael Warlof
San Diego, CA
Victoria Mercado
Minneapolis, MN
Zachary Rosenoff
Boston, MA
Maureen Lindert
Boston, MA
Levi Fetterhoff
San Diego, CA
Ryan Brennan
Boston, MA
Dylan Cooke
San Diego, CA

Not sure which advisor is right for you? Use our matching tool

Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Click here to find your advisor matches today

Back to Overview

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm. Financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.

This profile may include a firm or advisor that has a business relationship with SmartAsset, in which SmartAsset is compensated for lead referrals. SmartAsset is not a client of the aforementioned firms or advisors. SmartAsset did not receive compensation for including any of the firms or advisors in the aforementioned profile.

This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.