CP
Chris G. Pulos
MMA SECURITIES LLC
Dayton, OH 45402
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CRD#: 1214415
CP
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.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(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;
CRS (Client Relationship Summary) - RIA
Click below to view Chris George Pulos's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Chris George Pulos's 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®
NoneExperience
Current
June 22, 2016 - Present
MMA SECURITIES LLC
Office #1: 309 Webster St, Dayton, OH 45402RIA
BD
CRD#: 44254
Dayton, OH
Current
August 6, 2025 - Present
MMA SECURITIES LLC
Office #1: 309 Webster St, Dayton, OH 45402RIA
BD
CRD#: 44254
Dayton, OH
Past
September 20, 2019 - August 9, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
DAYTON, OH
Past
August 31, 2009 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
DAYTON, OH
Past
June 22, 2007 - November 17, 2016
BROWER INVESTMENT ADVISERS, LLC
RIA
CRD#: 143371
DAYTON, OH
Past
May 1, 2007 - August 31, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
DAYTON, OH
Past
October 4, 2004 - December 31, 2006
MUTUAL SERVICE CORPORATION
RIA
CRD#: 4806
DAYTON, OH
Past
August 17, 2004 - December 31, 2006
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
DAYTON, OH
Past
January 24, 2003 - August 25, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
DAYTON, OH
Past
May 15, 1984 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
May 15, 1984 - August 25, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
MS
MMA SECURITIES LLC
COMPASS FINANCIAL PARTNERS | 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)
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.Highlighted states indicate IAR registrations
IAR
Ohio(6/22/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MMA SECURITIES LLC
COMPASS FINANCIAL PARTNERS | 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)
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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
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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Company Information
MMA SECURITIES LLC
CRD#: 44254Dayton, OH 45402TRUST BUT VERIFY
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Contact information
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