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MMA SECURITIES LLC
CRD 44254File 801-100377
APPROVED
Disclosure events
Filing as of Jun 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
Not reported
Discretionary AUM
Not reported
Clients
2,549
Not reported accounts
Employees
211
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jul 7, 2015
- Principal office
- 1166 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036
- Phone
- 212-345-5000
- Website
- https://compassfp.com/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- Not reported
- Discretionary AUM
- Not reported
- Non-discretionary AUM
- Not reported
- Discretionary accounts
- Not reported
- Non-discretionary accounts
- Not reported
- Total accounts
- Not reported
- AUM per client
- —
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Pension and profit sharing plans | 2,528 | $0 |
| State or municipal government entities | 21 | $0 |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Commissions
- Other (described) — BASED ON ASSETS UNDER ADVISEMENT OR PER CAPITA CHARGE PER PARTIC
Advisory activities
- Other
- Other advisory activities
- Selection of other advisers
- Portfolio management for other
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11D1
- Q11D4
- Q11E2
- Q11E4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 10,839 | 2,549 | decreased by8,290 |
| Aug 12, 2026 | AUM | $0 | — | |
| Aug 12, 2026 | Accounts | 0 | — | |
| Apr 1, 2026 | Employees | 179 | 211 | increased by32 |
| Apr 1, 2026 | Clients | 8,394 | 10,839 | increased by2,445 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 141 | 179 | increased by38 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 3,562 | 8,394 | increased by4,832 |
| Apr 1, 2022 | Employees | 133 | 141 | increased by8 |
| Apr 1, 2022 | Clients | 1,424 | 3,562 | increased by2,138 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “MMA SECURITIES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“MMA SECURITIES” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.