Broker-dealer firm · New York, NY
MMA Securities LLC
SEC-registered investment adviser · CRD 44254 · SEC 801-100377
At a glance
MMA Securities LLC is an SEC-registered investment adviser based in New York, New York, with $0 in regulatory assets under management as of its Form ADV filed June 30, 2026. By Form ADV it is a broker-dealer firm, ranked 378th of 391 broker-dealer firms and 16,567th of 17,210 SEC-registered advisers by assets.
Main office 212-345-5000marshmma.comAs filed on Form ADV
- Regulatory AUM
- $0M
- Rank among broker-dealer firms
- #378 of 391
- Rank among all SEC RIAs
- #16,567 of 17,210
- Rank in New York
- #2,502 of 2,591
- Clients
- 10,839
- Accounts
- 0
- Discretionary
- 0% of AUM
- Employees
- 211
- Advisory staff
- 164
- Offices
- 31
Owners and executives on its Form ADV
- Kimberly Lynn BlackmoreFinop, CFO, PFO, POO, and Director
- Brian Edward BartkusSenior Supervisory Principal
- Craig J ReidPresident, Director
- Judith Ann WeinstockChief Compliance Officer, Chief Counsel and Director
Custody and brokerage
Custodian
MMA Securities LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
MMA Securities LLC is a hybrid RIA: 178 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: MMC Securities (ireland) Limited, MMC Securities LLC and MMC Securities Limited.
- MMC Securities (ireland) Limited
- MMC Securities LLC ↗CRD 103846
An introducing broker-dealer: its trades clear through Pershing, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
- MMC Securities Limited
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 2,528 | $0M | – |
| State or municipal government entities | 21 | $0M | – |
| Other | 8,290 | $0M | – |
Disciplinary disclosures
MMA Securities LLC answers yes to 6 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
- Other services
How it’s paid
- Fixed fees
- Commissions
- Other
Form ADV and brochures on the SEC’s adviser search ↗marshmma.com ↗
AtlasMembers
The full record on MMA Securities LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 28 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does MMA Securities LLC manage?
MMA Securities LLC reports $0 in regulatory assets under management, on its Form ADV filed June 30, 2026.
What kind of firm is MMA Securities LLC?
MMA Securities LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. A public reporting company controls it.
Who are MMA Securities LLC’s clients?
By assets, its largest client types are pension and profit sharing plans ($0, 2,528 clients); state or municipal government entities ($0, 21 clients); other ($0, 8,290 clients).
Does MMA Securities LLC have any disciplinary history?
MMA Securities LLC answers yes to 6 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is MMA Securities LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-06-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →