Richard L. Klein

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CRD#: 1136359

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.

Richard Louis Klein was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Registered Representative is an employee of Marsh & McLennan Agency LLC ("MMA"), 1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities for MMA (e.g. support for its insurance services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities LLC activities remain subject to the Firm's supervisory framework.

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

September 18, 2024 - January 7, 2025

MMA SECURITIES LLC

RIA

CRD#: 44254

Schaumburg, IL

Past

September 18, 2024 - January 7, 2025

MMA SECURITIES LLC

CRD#: 44254

Schaumburg, IL

Past

September 17, 2014 - August 27, 2024

GLOBAL RETIREMENT PARTNERS LLC

RIA

CRD#: 172011

ORLAND PARK, IL

Past

September 12, 2014 - August 14, 2024

LPL FINANCIAL LLC

CRD#: 6413

ORLAND PARK, IL

Past

February 1, 2012 - November 17, 2014

FINANCIAL TELESIS INC

RIA

CRD#: 31012

ORLAND PARK, IL

Past

February 1, 2012 - September 12, 2014

FINANCIAL TELESIS INC

CRD#: 31012

ORLAND PARK, IL

Past

September 29, 2004 - February 6, 2012

MPS-LORIA FINANCIAL PLANNERS,LLC

RIA

CRD#: 122866

BURR RIDGE, IL

Past

September 1, 2004 - February 6, 2012

LORIA FINANCIAL GROUP, LLC

CRD#: 102360

BURR RIDGE, IL

Past

December 19, 2002 - August 25, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

November 18, 1999 - August 26, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 10, 1997 - January 7, 1998

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Past

April 7, 1989 - December 17, 1996

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 25, 1983 - March 23, 1989

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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: 12/27/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/29/1983

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: 5/21/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/4/1994

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

Richard L. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MMA SECURITIES LLC

GLOBAL RETIREMENT PARTNERS LLC

LPL FINANCIAL LLC

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

MPS-LORIA FINANCIAL PLANNERS,LLC

LORIA FINANCIAL GROUP, LLC

NEW ENGLAND SECURITIES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/1995

Series 63

Date: 9/29/1983

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1983

Series 24

Date: 3/4/1994

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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