Mma Securities LLC

Registered investment adviser · New York, NY · CRD #44254

Form ADV data as of 2026-09-01

Regulatory assets

Total accounts

Employees

211

Disclosure events

Firm details

Website: https://www.mmaprosperwise.com/
Telephone: 212-345-5000
SEC file number: 801-100377
Most recent Form ADV filing: 2026-06-30
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 4 disclosure questions answered Yes, covering 6 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm

Assets and accounts

Provides continuous and regular supervisory or management services	No
Discretionary regulatory assets under management	$0
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$0
Discretionary accounts	0
Non-discretionary accounts	0
Total accounts	0

People

Total employees (excluding clerical)	211
Employees performing investment advisory functions (including research)	164
Employees who are registered representatives of a broker-dealer	178
Employees registered as investment adviser representatives with a state	164
Employees registered as IARs for another investment adviser	18
Employees who are licensed insurance agents	118
Firms or persons who solicit advisory clients on the firm's behalf	5

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

Fixed fees (other than subscription fees)CommissionsOther

Advisory services offered

Pension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsOther

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Commodity pool operator or commodity trading advisorInsurance company or agencyPension consultantSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Pension and profit sharing plans (not the participants or government plans)	2,528	$0
State or municipal government entities (including government pension plans)	21	$0
Other	8,290	$0