Randall T. Graham

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CRD#: 1151016

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.

Randall Talbott Graham, CFP®, who also goes by Randall T Graham, was a registered financial professional .

Randall is a previously registered financial professional and started their career in finance in 1983. Randall had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 2 exams.

Question & Answer

What are your service offerings?

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Aliases

Randall T Graham

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.

1. Alzheimer's Association board, 8 years involvement 2. Algonquin Golf Club board, 6 months involvement 3. Optitek, a passive investor, 10+ years involvement 2. The Registered Representative is an employee of MMA Agency (1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities (up to approximately 75% of his time) for MMA Agency (e.g. support for its health & benefits services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities 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®

CFP^®

Certified Financial Planner

Start date: 2023

Experience

Past

April 23, 2019 - January 20, 2023

MMA SECURITIES LLC

RIA

CRD#: 44254

St. Louis, MO

Past

April 1, 2019 - January 20, 2023

MMA SECURITIES LLC

CRD#: 44254

St. Louis, MO

Past

October 11, 2011 - April 23, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

ST. LOUIS, MO

Past

September 15, 2011 - April 23, 2019

LPL FINANCIAL LLC

CRD#: 6413

ST. LOUIS, MO

Past

July 17, 2006 - September 13, 2011

OSAIC FS, INC.

CRD#: 3870

CHESTERFIELD, MO

Past

July 26, 2005 - July 25, 2006

WINDWARD SECURITIES CORPORATION

CRD#: 127716

CHESTERFIELD, MO

Past

December 8, 2003 - July 7, 2005

ONB INVESTMENT SERVICES, INC.

CRD#: 31583

EVANSVILLE, IN

Past

February 25, 2000 - December 2, 2003

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

January 4, 1999 - February 18, 2000

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

October 15, 1993 - December 21, 1999

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

June 19, 1983 - October 15, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

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: 10/10/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/20/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 2

Date: 10/3/1980

Non-Member General Securities 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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Randall T. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MMA SECURITIES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FS, INC.

WINDWARD SECURITIES CORPORATION

ONB INVESTMENT SERVICES, INC.

TOWER SQUARE SECURITIES, INC.

OSAIC FA, INC.

VOYA FINANCIAL PARTNERS, LLC

AETNA LIFE INSURANCE AND ANNUITY COMPANY

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/10/2011

Series 63

Date: 4/20/1995

SIE

Date: 10/1/2018

Series 2

Date: 10/3/1980

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

Contact information

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