Senior Supervisory Principal · MMA Securities LLC
Brian Edward Bartkus
CRD 2827119 · Named on Form ADV at one SEC-registered adviser
At a glance
MMA Securities LLC, an SEC-registered broker-dealer firm based in New York, NY with $0 in regulatory assets, lists Brian Edward Bartkus on its Form ADV as Senior Supervisory Principal.
Firms and roles
- MMA Securities LLCSenior Supervisory PrincipalBroker-dealer firm · New York, NY · $0M in regulatory assets
AtlasMembers
Brian’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- Locked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2001 (25 years)
- Designations
- Certified Financial Planner
- Exams
- Series 63, Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Brian’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 2 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Kimberly Lynn BlackmoreFinop, CFO, PFO, POO, and Director, MMA Securities LLC
- Craig J ReidPresident, Director, MMA Securities LLC
- Judith Ann WeinstockChief Compliance Officer, Chief Counsel and Director, MMA Securities LLC
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Brian’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.