at


Investment Adviser Firm Summary

MMA SECURITIES LLC (CRD# 44254 / SEC# 8-50591, 801-100377)
Alternate Names: MMA - BARNEY & BARNEY , MMA - BROWER , MMA - DAWSON , MMA SECURITIES LLC , NIA SECURITIES, L.L.C.

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 07/07/2015
Connecticut Terminated 05/23/2013
New Jersey Terminated 05/02/2013

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 07/07/2015
Alaska 07/07/2015
Arizona 07/07/2015
Arkansas 07/07/2015
California 07/07/2015
Colorado 07/07/2015
Connecticut 07/07/2015
Delaware 07/07/2015
District of Columbia 07/07/2015
Florida 07/07/2015
Georgia 07/07/2015
Hawaii 07/07/2015
Idaho 07/07/2015
Illinois 07/07/2015
Indiana 07/07/2015
Iowa 07/07/2015
Kansas 07/07/2015
Kentucky 07/07/2015
Louisiana 07/07/2015
Maine 07/07/2015
Maryland 07/07/2015
Massachusetts 07/07/2015
Michigan 07/07/2015
Minnesota 07/07/2015
Mississippi 07/07/2015
Missouri 07/07/2015
Montana 07/07/2015
Nebraska 07/07/2015
Nevada 07/07/2015
New Hampshire 07/07/2015
New Jersey 07/10/2015
New Mexico 07/07/2015
New York 07/07/2015
North Carolina 07/07/2015
North Dakota 07/07/2015
Ohio 07/07/2015
Oklahoma 07/07/2015
Oregon 07/07/2015
Pennsylvania 07/07/2015
Rhode Island 07/07/2015
South Carolina 07/07/2015
South Dakota 07/07/2015
Tennessee 07/07/2015
Texas 07/07/2015
Utah 07/07/2015
Vermont 07/07/2015
Virginia 07/07/2015
Washington 07/07/2015
West Virginia 07/07/2015
Wisconsin 07/07/2015
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