JV
John R. Vanderleeuw
MMA SECURITIES LLC
Saddlebrook, NJ 07663
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CRD#: 1922458
JV
Professional summary
John Richard Vanderleeuw is a registered financial advisor currently at MMA SECURITIES LLC located in Saddlebrook, New Jersey.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. John has worked at 5 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 7, Series 4, Series 53 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.
The Registered Representative is an employee of Marsh & McLennan Agency LLC ("MMA"), 1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities for MMA (e.g. support for its insurance services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities LLC activities remain subject to the Firm's supervisory framework.
CRS (Client Relationship Summary) - RIA
Click below to view John Richard Vanderleeuw's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Richard Vanderleeuw'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
April 23, 2024 - Present
MMA SECURITIES LLC
Office #1: Park 80 West, Plaza Two 250 Pehle Ave., Suite 400, Saddlebrook, NJ 07663RIA
BD
CRD#: 44254
Saddlebrook, NJ
Current
April 23, 2024 - Present
MMA SECURITIES LLC
Office #1: Park 80 West, Plaza Two 250 Pehle Ave., Suite 400, Saddlebrook, NJ 07663RIA
BD
CRD#: 44254
Saddlebrook, NJ
Past
March 5, 2024 - May 10, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
BARNEGAT, NJ
Past
March 5, 2024 - May 10, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
July 2, 2013 - January 12, 2024
TD PRIVATE CLIENT WEALTH LLC
RIA
CRD#: 164484
NEW YORK, NY
Past
February 28, 2013 - January 12, 2024
TD PRIVATE CLIENT WEALTH LLC
BD
CRD#: 164484
NEW YORK, NY
Past
October 11, 2011 - May 25, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHERRY HILL, NJ
Past
October 11, 2011 - July 3, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
CHERRY HILL, NJ
Past
February 16, 2011 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
CHERRY HILL, NJ
Past
February 16, 2011 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHERRY HILL, NJ
Past
August 23, 2005 - May 28, 2010
TD WEALTH MANAGEMENT SERVICES INC.
RIA
CRD#: 6940
CHERRY HILL, NJ
Past
October 3, 2003 - May 28, 2010
TD WEALTH MANAGEMENT SERVICES INC.
BD
CRD#: 6940
CHERRY HILL, NJ
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.RR
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
RR
New Jersey(4/23/2024)
IAR
New Jersey(4/23/2024)
RR
New York(4/23/2024)
RR
Pennsylvania(4/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 3/5/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 3/5/2024
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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.
