Bradford E. Sylvester

MMA SECURITIES LLC

Hartford, CT 06103

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CRD#: 1094538

Professional summary

Bradford Ervin Sylvester, who also goes by Brad Sylvester, is a registered financial professional currently at MMA SECURITIES LLC located in Hartford, Connecticut.

Bradford is registered as a RR (Registered Representative) and started their career in finance in 1983. Bradford has worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brad Sylvester

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) - BD

Click below to view Bradford Ervin Sylvester's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

July 28, 2023 - Present

MMA SECURITIES LLC

Office #1: 20 Church Street 8th Fl, Hartford, CT 06103

RIA

CRD#: 44254

Hartford, CT

Past

October 12, 2010 - July 28, 2023

MMC SECURITIES LLC

CRD#: 103846

HARTFORD, CT

Past

September 7, 2007 - November 3, 2010

INTERLINK SECURITIES CORP.

CRD#: 30505

HARTFORD, CT

Past

July 3, 2003 - August 7, 2007

FLAGLER DRIVE FINANCIAL, L.P.

CRD#: 123758

OLD GREENWICH, CT

Past

January 14, 2002 - July 21, 2003

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

October 17, 2001 - January 4, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

May 14, 1999 - September 8, 1999

KEY CLEARING CORP.

CRD#: 37595

BROOKLYN, OH

Past

May 18, 1998 - May 14, 1999

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

November 15, 1996 - June 16, 1998

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

February 22, 1996 - June 18, 1996

OHANESIAN / LECOURS, INC.

CRD#: 23757

WEST HARTFORD, CT

Past

August 30, 1993 - January 4, 1996

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

January 23, 1992 - July 19, 1993

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

June 5, 1986 - February 4, 1992

C.A.L. INVESTMENT SERVICES INC.

CRD#: 15642

SASKATCHEWAN S4P 3B1,

Past

February 17, 1983 - June 5, 1986

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(7/28/2023)

Connecticut
(7/28/2023)

Illinois
(6/27/2024)

Nebraska
(7/28/2023)

Rhode Island
(7/28/2023)

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

Series 63

Date: 11/2/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/20/2003

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 3/28/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/16/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/9/2007

General Securities Principal Examination

SRO Registrations

FINRA

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

Bradford E. Sylvester

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bradford Ervin Sylvester's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMC SECURITIES LLC

INTERLINK SECURITIES CORP.

FLAGLER DRIVE FINANCIAL, L.P.

WOODBURY FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

KEY CLEARING CORP.

KEY INVESTMENTS INC.

FIRST UNION BROKERAGE SERVICES, INC.

OHANESIAN / LECOURS, INC.

1717 CAPITAL MANAGEMENT COMPANY

TOWER SQUARE SECURITIES, INC.

C.A.L. INVESTMENT SERVICES INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/2/1983

SIE

Date: 10/1/2018

Series 7

Date: 2/20/2003

Series 22

Date: 3/28/1983

Series 6

Date: 2/16/1983

Series 24

Date: 4/9/2007

FINRA

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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