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Investment Adviser Firm Summary

MMC SECURITIES LLC (CRD# 103846 / SEC# 8-52349, 801-60515)
Alternate Names: MARSH INSURANCE & INVESTMENTS CORP. , MARSH INSURANCE & INVESTMENTS CORPORATION , MARSH INSURANCE AGENCY & INVESTMENTS CORP , MERCER DC ADVISORS , MERCER DC ADVISORS; MMA NEW ENGLAND; MERCER H & B EXEC. BENEFITS , MERCER H & B EXECUTIVE BENEFITS , MIIC INSURANCE SERVICES CORP , MMA - BARNEY AND BARNEY , MMA NEW ENGLAND , MMC SECURITIES CORP , MMC SECURITIES CORP. , MMC SECURITIES LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/28/2001

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 09/28/2001
Alaska 09/11/2003
Arizona 09/28/2001
Arkansas 11/08/2001
California 09/28/2001
Colorado 09/28/2001
Connecticut 09/28/2001
Delaware 09/04/2003
District of Columbia 09/28/2001
Florida 10/03/2001
Georgia 09/28/2001
Hawaii 09/04/2003
Idaho 09/28/2001
Illinois 10/11/2001
Indiana 09/28/2001
Iowa 09/28/2001
Kansas 09/28/2001
Kentucky 09/28/2001
Louisiana 09/28/2001
Maine 09/28/2001
Maryland 09/28/2001
Massachusetts 10/04/2001
Michigan 09/28/2001
Minnesota 10/10/2001
Mississippi 09/28/2001
Missouri 09/28/2001
Montana 09/28/2001
Nebraska 09/28/2001
Nevada 09/28/2001
New Hampshire 09/28/2001
New Jersey 09/19/2000
New Mexico 11/28/2001
New York 11/14/2001
North Carolina 09/28/2001
North Dakota 09/28/2001
Ohio 09/28/2001
Oklahoma 10/25/2001
Oregon 09/28/2001
Pennsylvania 09/28/2001
Puerto Rico 03/29/2018
Rhode Island 09/28/2001
South Carolina 09/28/2001
South Dakota 10/04/2001
Tennessee 10/25/2001
Texas 07/24/2001
Utah 10/04/2001
Vermont 09/28/2001
Virginia 09/28/2001
Washington 09/28/2001
West Virginia 08/27/2001
Wisconsin 09/28/2001
Wyoming 03/29/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser