MMA SECURITIES LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 44254).
Compensation: Fixed, Commissions, Other.
Clients served: Pensions, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Kimberly Lynn Blackmore | FINOP, CFO, PFO, POO, AND DIRECTOR; FINOP, PFO AND POO | — |
| Brian Edward Bartkus | SENIOR SUPERVISORY PRINCIPAL | — |
| Craig J Reid | PRESIDENT; PRESIDENT, DIRECTOR | — |
| Judith Ann Weinstock | CHIEF COMPLIANCE OFFICER, CHIEF COUNSEL AND DIRECTOR | — |
| Brent Patrick Nicks | ACTING CHIEF COMPLIANCE OFFICER | — |
| HAPPE MARK JONATHAN | PRESIDENT | — |
| NICKS BRENT PATRICK | ACTING CCO | — |
| LIEBOWITZ MARIANE ASHLEY | CHIEF COMPLIANCE OFFICER | — |
| BLACKMORE KIMBERLY LYNN | FINOP; FINOP, PFO AND POO | — |
| BLUE JAMES DUNCAN | PRESIDENT | — |
| PEARTREE WILLIAM JOSEPH | PRESIDENT | — |
| BARTKUS BRIAN EDWARD | ACTING PRESIDENT; PRESIDENT OF RETAIL SALES; SENIOR SUPERVISORY PRINCIPAL | — |
| REID CRAIG J | PRESIDENT | — |
| TURTON KEVIN DUANE | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-12-11 | regulatory | DURING THE RELEVANT PERIOD, THE MEMBER FIRM APPROVED SEVERAL OUTSIDE BUSINESS ACTIVITIES WITHOUT EVALUATING AND DOCUMENTING ITS EVALUATION OF WHETHER SUCH ACTIVITIES WOULD INTERFERE WITH OR OTHERWISE COMPROMISE THE REGISTERED PERSON'S RESPONSIBILITIES TO THE FIRM OR THE FIRM'S CUSTOMERS, OR BE VIEWE… | Final | $30K |
| 2015-04-20 | regulatory | RESPONDENT SELF-REPORTED THAT BETWEEN 2010 AND 2014, RESPONDENT GIFTED TICKETS IN EXCESS OF $250.00 TO SPORTING EVENTS, CONCERTS, AND/OR GOLF TOURNAMENTS TO PERSONS, WHO WERE EMPLOYED BY IN-FORCE POLICY HOLDERS WHO PURCHASED INSURANCE THROUGH MMA AND/OR RESPONDENT WHICH WERE NOT SPECIFIED IN THE CON… | Final | $50K |
| 2014-05-21 | regulatory | ON OR ABOUT JANUARY 2010 THROUGH THE FIRST TWO QUARTERS OF 2013, RESPONDENT MISREPRESENTED THE EMPLOYEE CENSUS DATA OF INSURED AS TO THE ACTUAL NUMBER OF WORKERS EMPLOYED OUTSIDE OF NEW JERSEY. | Final | $15K |
| — | regulatory | — | — | — |
Showing 15 of 30 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| BOSTON | MA | 29 | 1 617-587-2300 |
| MINNEAPOLIS | MN | 24 | 763 746-8000 |
| SAN DIEGO | CA | 24 | (858) 587-7556 |
| CONSHOHOCKEN | PA | 18 | 610.684.3341 |
| SCHAUMBURG | IL | 11 | 847-463-7344 |
| DALLAS | TX | 9 | 214.739.5442 |
| ALISO VIEJO | CA | 7 | 212-345-1739 |
| NEW YORK | NY | 6 | (212) 850-0113 |
| CHARLOTTE | NC | 5 | (336) 510-1550 |
| SADDLE BROOK | NJ | 4 | 201-587-9300 |
| ST. LOUIS | MO | 4 | (314) 594-2721 |
| GREENSBORO | NC | 4 | (336) 510-1550 |
| ALPHARETTA | GA | 3 | (800) 226-4516 |
| LEAWOOD | KS | 2 | 212-345-5000 |
| RALEIGH | NC | 2 | 919-786-5605 |