CRD #44254 · FINRA BrokerCheck + SEC IAPD

MMA Securities LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, MMA Securities LLC ranks #2,285 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #184 of 868 on the same disclosure sort used on the state browse page. MMA Securities LLC carries 3 BrokerCheck disclosures across 88 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
88
branch offices
3
disclosures
#2,285 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 44254 MMA Securities LLC

MMA Securities LLC · Grade B · 3 disc · 0.03/office · Mid-sized firm

  • CRD 44254
  • GRADE B
  • DISC 3
  • REG 3
  • ARB 0
  • CIV 0
  • BRANCH 88
  • PER-OFF 0.03
  • RANK #2,285 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Oakwood Capital Securities, Inc. (0.03 disc/office)

Oakwood Capital Securit…0.03Transamerica Investors …0.04Trinity Wealth Securiti…0.04MMA Securities LLC (this)0.03
Disclosures per office among mid-sized firm peers (lower is cleaner)

MMA Securities LLC ranks #2,285 of 20,055 by disclosure count among graded broker-dealers; light load at 0.03 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

88 offices

FINRA: Medium firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

3 actions

100% of all disclosures

Disclosures per office

0.03 per office

3 ÷ 88 offices

MMA Securities LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 94% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 3
Arbitrations 0
Civil Events 0
Total 3

Counts for MMA Securities LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 3 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
New York, NY, 10036
Formed
02/03/1998
State of Formation
New Jersey
CRD Number
44254
SEC Number
50591

Regulator-heavy mix

MMA Securities LLC in the heavier-disclosure third

MMA Securities LLC carries 3 BrokerCheck disclosures across 88 branch offices - a heavier-third raw book among graded firms (#2,285 of 20,055). Regulator-initiated events are 100% of the book (3 regulatory / 0 arbitration / 0 civil).

100% of MMA Securities LLC's 3 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of MMA Securities LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 0.34× state average

MMA Securities LLC sits below the New York disclosure average

MMA Securities LLC reports 3 BrokerCheck disclosures, 0.34× the New York average of 8.7, lighter than most of the 868 graded firms filed there.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does MMA Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, MMA Securities LLC ranks #2,285 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #184 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for MMA Securities LLC?
A grade of B reflects MMA Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 3 total disclosures across 88 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does MMA Securities LLC have?
MMA Securities LLC has 3 total FINRA disclosures, including 3 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is MMA Securities LLC?
MMA Securities LLC operates 88 branch offices and is classified by FINRA as a medium firm, registered in NY (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify MMA Securities LLC's disciplinary record?
You can verify MMA Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 44254. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid MMA Securities LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. MMA Securities LLC carries 3 disclosures across 88 branch offices (about 0.03 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for MMA Securities LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.