Jeffrey W. Stephens

MMA SECURITIES LLC

Walnut Creek, CA 94597

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CRD#: 1177270

Professional summary

Jeffrey W Stephens, who also goes by Jeff Stephens, Jeffrey William Stephens, is a registered financial advisor currently at MMA SECURITIES LLC located in Walnut Creek, California.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Jeffrey has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Stephens | Jeffrey William Stephens

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) - RIA

Click below to view Jeffrey W Stephens's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey W Stephens'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

August 1, 2018 - Present

MMA SECURITIES LLC

Office #1: 1340 Treat Boulevard Suite 250, Walnut Creek, CA 94597

RIA

CRD#: 44254

Walnut Creek, CA

Current

August 1, 2018 - Present

MMA SECURITIES LLC

Office #1: 1340 Treat Boulevard Suite 250, Walnut Creek, CA 94597

RIA

CRD#: 44254

Walnut Creek, CA

Past

August 22, 2014 - September 28, 2018

SDM ADVISORS, LLC

RIA

CRD#: 170014

MENLO PARK, CA

Past

July 31, 2014 - August 1, 2018

VALMARK ADVISERS, INC.

RIA

CRD#: 108050

SAN FRANCISCO, CA

Past

July 31, 2014 - August 1, 2018

VALMARK SECURITIES, INC.

CRD#: 31243

SAN FRANSCISO, CA

Past

March 2, 2011 - July 31, 2014

FINANCIAL TELESIS INC

RIA

CRD#: 31012

MORAGA, CA

Past

March 1, 2011 - July 31, 2014

FINANCIAL TELESIS INC

CRD#: 31012

MORAGA, CA

Past

March 23, 2009 - March 3, 2011

ARETE WEALTH ADVISORS, LLC

RIA

CRD#: 145488

CHICAGO, IL

Past

March 23, 2009 - March 3, 2011

ARETE WEALTH MANAGEMENT, LLC

CRD#: 44856

SAN RAFAEL, CA

Past

January 13, 2009 - March 19, 2009

PRIVATE WEALTH ADVISORS, INC.

RIA

CRD#: 148144

SONOMA, CA

Past

July 31, 2006 - December 31, 2008

PRIVATE CONSULTING GROUP, INC.

RIA

CRD#: 45053

SONOMA, CA

Past

July 31, 2006 - March 19, 2009

PRIVATE CONSULTING GROUP, INC.

CRD#: 45053

SONOMA, CA

Past

November 23, 1998 - August 7, 2006

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

SONOMA, CA

Past

August 6, 1998 - August 7, 2006

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

SONOMA, CA

Past

May 13, 1987 - August 4, 1998

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

October 27, 1983 - May 7, 1987

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(8/1/2018)

IAR

California
(8/1/2018)

Colorado
(8/1/2018)

IAR

Colorado
(8/1/2018)

Washington
(8/1/2018)

IAR

Washington
(8/1/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/9/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/12/1986

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: 10/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/14/2001

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Jeffrey W. Stephens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey W Stephens's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey W Stephens's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMA SECURITIES LLC

SDM ADVISORS, LLC

VALMARK ADVISERS, INC.

VALMARK SECURITIES, INC.

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

ARETE WEALTH ADVISORS, LLC

ARETE WEALTH MANAGEMENT, LLC

PRIVATE WEALTH ADVISORS, INC.

PRIVATE CONSULTING GROUP, INC.

PRIVATE CONSULTING GROUP, INC.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

NEW ENGLAND SECURITIES

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/9/1998

Series 63

Date: 3/12/1986

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1983

Series 24

Date: 4/14/2001

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

Contact information

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