David Siegel

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CRD#: 1029957

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Siegel, who also goes by David James Siegel, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1982. David had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David James Siegel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 20, 2001 - July 9, 2012

MMA SECURITIES LLC

CRD#: 44254

PARAMUS, NJ

Past

July 19, 2000 - February 23, 2001

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

February 25, 1999 - July 20, 2000

THE CONCORD EQUITY GROUP, LLC

CRD#: 14569

ISELIN, NJ

Past

June 15, 1994 - February 2, 1999

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

April 16, 1991 - June 16, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 23, 1989 - May 13, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 3, 1985 - February 6, 1989

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

March 13, 1985 - April 8, 1985

CRALIN & CO., INC.

CRD#: 7605

Past

January 26, 1982 - February 1, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MMA SECURITIES LLC

CRD#: 44254 / SEC#: 801-100377, 8-50591

RIA

Registered Investment Advisory firm - SEC (7/7/2015 Approved)

Connecticut

Registered Investment Advisory firm - SEC (5/23/2013 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/2/2013 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/1/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/3/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 1/29/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/18/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/11/2002

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/22/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/5/2000

General Securities Principal Examination

Current Firm

MMA SECURITIES LLC

CRD#: 44254 / SEC#: 801-100377, 8-50591

RIA

Registered Investment Advisory firm - SEC (7/7/2015 Approved)

Connecticut

Registered Investment Advisory firm - SEC (5/23/2013 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/2/2013 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1166 Avenue Of The Americas, New York, NY 10036

Mailing Address

1166 Avenue Of The Americas, New York, NY 10036

Phone number

(917) 625-4069

Established

New Jersey since 02/03/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

179

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MMAS PERSONALIZED ADVISORY SERVICES FIRM BROCHURE 03.2025 (3/27/2025)

MMAS RETIREMENT PLAN SERVICES FIRM BROCHURE 03.2025 (3/27/2025)

MMAS PROSPER WISE FIRM BROCHURE 03.2025 (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
MARSH INSURANCE & INVESTMENTS LLC	OWNER
BARTKUS, BRIAN EDWARD	SENIOR SUPERVISORY PRINCIPAL	2827119
BLACKMORE, KIMBERLY LYNN	FINOP, CFO, PFO, POO, AND DIRECTOR	2219307
REID, CRAIG J	PRESIDENT, DIRECTOR	6280558
WEINSTOCK, JUDITH ANN	CHIEF COMPLIANCE OFFICER, CHIEF COUNSEL AND DIRECTOR	8096565

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David Siegel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST MONTAUK SECURITIES CORP.

THE CONCORD EQUITY GROUP, LLC

JOSEPHTHAL & CO., INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

KIDDER, PEABODY & CO. INCORPORATED

CRALIN & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/1999

Series 63

Date: 7/3/1985

Series 3

Date: 1/29/1986

Series 7

Date: 1/18/1982

Series 53

Date: 6/11/2002

Series 4

Date: 3/22/2001

Series 24

Date: 1/5/2000

Current Firm

MMA SECURITIES LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MMA SECURITIES LLC

TRUST BUT VERIFY

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