MMA SECURITIES LLC
Adviser information for MMA SECURITIES LLC last updated from Form ADV on March 31st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New Jersey, United States |
Employees
| Total Number of Employees | 181 |
|---|---|
| Investment Advisory/Research | 87 |
| Registered Broker-Dealer Representatives | 181 |
| Registered State Investment Advisers | 87 |
| Licensed Agents of an Insurance Company | 96 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 2,021 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 24 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 4,114 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 6149 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Pension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsADVISORY SERVICES TO RETIREMENT PLAN PARTICIPANTS |
|---|---|
| Compensation | Hourly chargesFixed feesCommissionsBASED ON ASSETS UNDER ADVISEMENT OR PER CAPITA |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-100377 |
|---|---|
| SEC ERA File Number | 801-100377 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 44254 |
| Legal Entity Identifier | None |
Principal Office
1166 AVENUE OF THE AMERICASNEW YORK
NY
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 212-345-5000, Fax: 212-948-0258
Chief Compliance Officer
KEVIN D. TURTON
1166 AVENUE OF THE AMERICAS
NEW YORK
NY
United States
Tel:
7132088416
K***********@******M
(Full email address available in API data)
Industry Affiliates
| GUY CARPENTER & COMPANY, LLC | Insurance company or agency |
| JLT WEALTH MANAGEMENT | Other investment adviser, including financial planners |
| MARSH | Insurance company or agency |
| MARSH & MCLENNAN AGENCY | Insurance company or agency |
| MARSH INSURANCE & INVESTMENTS LLC | Insurance company or agency |
| MARSH USA LLC | Insurance company or agency |
| MERCER (US) INC. | Insurance company or agencyPension consultant |
| MERCER GLOBAL INVESTMENTS CANADA LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| MERCER INVESTMENTS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorPension consultantSponsor, GP, manager of pooled investment vehicles |
| MMA ASSET MANAGEMENT LLC | Other investment adviser, including financial planners |
| MMC SECURITIES (IRELAND) | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| MMC SECURITIES LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| MMC SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MARSH & MCLENNAN COMPANIES, INC. | Domestic Entity | MARSH LLC | PARENT COMPANY | 11/2009 | > 75% |
| MARSH LLC | Domestic Entity | MARSH USA LLC | OWNER | 11/2009 | > 75% |
| MARSH USA LLC | Domestic Entity | GUY CARPENTER & COMPANY, LLC | OWNER | 01/2012 | > 75% |
| BLACKMORE, KIMBERLY LYNN | Individual | – | FINOP, PFO AND POO | 07/2012 | < 5% |
| BARTKUS, BRIAN EDWARD | Individual | – | SENIOR SUPERVISORY PRINCIPAL | 04/2020 | < 5% |
| MARSH INSURANCE & INVESTMENTS LLC | Domestic Entity | – | OWNER | 11/2018 | > 75% |
| SEABURY & SMITH LLC | Domestic Entity | MARSH INSURANCE & INVESTMENTS LLC | OWNER | 11/2018 | > 75% |
| GUY CARPENTER & COMPANY, LLC | Domestic Entity | SEABURY & SMITH LLC | OWNER | 11/2018 | > 75% |
| REID, CRAIG J | Individual | – | PRESIDENT | 04/2020 | < 5% |
| TURTON, KEVIN DUANE | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |