James D. Blue

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CRD#: 1529545

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.

James Duncan Blue, who also goes by James D Blue, James Duncan Blue II, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1986. James had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James D Blue | James Duncan Blue Ii

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)

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

October 31, 2016 - May 29, 2018

MMA SECURITIES LLC

RIA

CRD#: 44254

Boston, MA

Past

January 4, 2016 - May 29, 2018

MMA SECURITIES LLC

CRD#: 44254

Boston, MA

Past

September 28, 2010 - January 22, 2016

MMC SECURITIES LLC

RIA

CRD#: 103846

BOSTON, MA

Past

September 28, 2010 - January 22, 2016

MMC SECURITIES LLC

CRD#: 103846

BOSTON, MA

Past

April 29, 2005 - September 30, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BOSTON, MA

Past

July 28, 2003 - December 31, 2013

THE BOSTONIAN GROUP

RIA

CRD#: 124615

BOSTON, MA

Past

April 23, 2001 - May 3, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 3, 1999 - April 23, 2001

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

March 1, 1996 - March 3, 1999

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

October 15, 1993 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

Past

September 17, 1991 - September 8, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

September 17, 1991 - September 8, 1993

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

May 19, 1989 - September 4, 1991

THE BOSTONIAN GROUP SECURITIES CORPORATION

CRD#: 13521

Past

May 12, 1988 - October 25, 1988

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Past

July 21, 1986 - May 12, 1988

PRUCO SECURITIES, LLC.

CRD#: 5685

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: 5/12/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/18/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/4/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/18/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/24/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 7/11/2001

Investment Company Products/Variable Contracts 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

James D. Blue

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MMA SECURITIES LLC

MMC SECURITIES LLC

MMC SECURITIES LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

THE BOSTONIAN GROUP

LPL FINANCIAL LLC

NEW ENGLAND SECURITIES

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

THE BOSTONIAN GROUP SECURITIES CORPORATION

COMMONWEALTH FINANCIAL NETWORK

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/12/2003

Series 63

Date: 11/18/1986

SIE

Date: 5/29/2018

Series 7

Date: 2/4/2003

Series 6

Date: 7/18/1986

Series 24

Date: 3/24/2003

Series 26

Date: 7/11/2001

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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