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Chris George Pulos

MMA SECURITIES
Dayton, OH
·CRD# 1214415·42 years registered

Professional Summary

Chris George Pulos is a registered financial advisor currently at MMA SECURITIES LLC located in Dayton, Ohio. Chris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Chris has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

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Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

42 years registered in the securities industry

Current & Past Employments

Current

MMA SECURITIES LLCCurrent·CRD# 44254
RIA
BD
309 Webster St, Dayton, OH 45402
June 22, 2016 - Present
MMA SECURITIES LLCCurrent·CRD# 44254
RIA
BD
309 Webster St, Dayton, OH 45402
August 6, 2025 - Present

Past

CETERA WEALTH SERVICES, LLCPast·CRD# 13572
BD
Dayton, OH
September 20, 2019 - August 9, 2023
SUMMIT BROKERAGE SERVICES, INC.Past·CRD# 34643
BD
Dayton, OH
August 31, 2009 - September 20, 2019
BROWER INVESTMENT ADVISERS, LLCPast·CRD# 143371
RIA
Dayton, OH
June 22, 2007 - November 17, 2016
MUTUAL SERVICE CORPORATIONPast·CRD# 4806
BD
Dayton, OH
May 1, 2007 - August 31, 2009
MUTUAL SERVICE CORPORATIONPast·CRD# 4806
RIA
Dayton, OH
October 4, 2004 - December 31, 2006
MUTUAL SERVICE CORPORATIONPast·CRD# 4806
BD
Dayton, OH
August 17, 2004 - December 31, 2006
EQUITABLE ADVISORS, LLCPast·CRD# 6627
RIA
Dayton, OH
January 24, 2003 - August 25, 2004
EQUITABLE ADVISORS, LLCPast·CRD# 6627
BD
New York, NY
May 15, 1984 - August 25, 2004
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATESPast·CRD# 4039
BD
New York, NY
May 15, 1984 - January 5, 2000

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Current Firm

MS
MMA SECURITIES LLC

COMPASS FINANCIAL PARTNERS | PRECEPT ADVISORY GROUP LLC | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE

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)
BD
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).

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

211

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 52 US 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 (6/30/2026)
MMAS RETIREMENT PLAN SERVICES FIRM BROCHURE 03.2025 (6/30/2026)
MMAS PROSPER WISE FIRM BROCHURE 03.2025 (6/30/2026)

Direct owners and executive officers

NamePositionCRD#
MARSH AGENCY LLCOWNER—
BARTKUS, BRIAN EDWARDSENIOR SUPERVISORY PRINCIPAL2827119
BLACKMORE, KIMBERLY LYNNFINOP, CFO, PFO, POO, AND DIRECTOR2219307
REID, CRAIG JPRESIDENT, DIRECTOR6280558
WEINSTOCK, JUDITH ANNCHIEF COMPLIANCE OFFICER, CHIEF COUNSEL AND DIRECTOR8096565

Disclosures

Regulatory Event

3

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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)- - MARSH & MCLENNAN AGENCY; SINCE 12/01/2012; SAME AS BRANCH ADDRESS; SENIOR VICE PRESIDENT; Sell group health benefits; 140 HOURS SPENT ON ACTIVITY PER MONTH
(2) - - MMA SECURITIES LLC; SINCE 06/2016; SAME AS BRANCH ADDRESS; IA REP; 10 HOURS SPENT ON ACTIVITY PER MONTH, 10 HOURS SPENT ON ACTIIVTY PER MONTH DURING TRADING HOURS
(3) NAME OF OTHER BUSINESS: NORTHMONT CITY SCHOOLS; INVESTMENT RELATED: NO; ADDRESS: 4001 OLS SALEM RD ENGLEWOOD OH 45322; NATURE OF BUSINESS: EDUCATION; START DATE: 1/2019; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: LIASON BETWEEN THE STATE AND DISTRICT, COLLECTIVE BARGAINING;

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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".
MS
MMA SECURITIES LLC

COMPASS FINANCIAL PARTNERS | PRECEPT ADVISORY GROUP LLC | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE

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)
BD
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.
IAR
Ohio
(6/22/2016)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 1994About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1992About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Feb 1994About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed May 1984About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Dec 2006About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Chris George Pulos's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Chris George Pulos's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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