Tracy Thomas

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CRD#: 2307402

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.

Tracy Thomas, AIF®, who also goes by Tracy L Thomas, Tracy Lynn Thomas, was a registered financial professional .

Tracy is a previously registered financial professional and started their career in finance in 1997. Tracy had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tracy L Thomas | Tracy Lynn Thomas

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®

AIF^®

Accredited Investment Fiduciary

Experience

Past

June 5, 2018 - December 26, 2023

MMA SECURITIES LLC

RIA

CRD#: 44254

San Diego, CA

Past

June 5, 2018 - December 26, 2023

MMA SECURITIES LLC

CRD#: 44254

San Diego, CA

Past

May 3, 2013 - February 7, 2014

SPECTRUM CAPITAL, LLC

CRD#: 28303

OMAHA, NE

Past

January 11, 2013 - June 18, 2018

OSAIC SERVICES, INC.

RIA

CRD#: 133763

SAN DIEGO, CA

Past

June 26, 2012 - June 18, 2018

OSAIC SERVICES, INC.

CRD#: 133763

SAN DIEGO, CA

Past

July 23, 2010 - August 8, 2013

SAGEVIEW ADVISORY GROUP, LLC

RIA

CRD#: 126777

IRVINE, CA

Past

May 17, 2010 - October 24, 2011

CETERA WEALTH SERVICES, LLC

CRD#: 13572

IRVINE, CA

Past

August 11, 2008 - December 31, 2009

NRP ADVISORS, INC.

RIA

CRD#: 141430

CLEVELAND, OH

Past

August 8, 2008 - February 18, 2010

NRP FINANCIAL, INC.

CRD#: 103717

CLEVELAND, OH

Past

February 1, 2006 - August 11, 2008

GIRARD SECURITIES, INC.

CRD#: 18697

CLEVELAND, OH

Past

February 17, 2004 - February 2, 2006

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

October 5, 1999 - October 22, 2002

NEUBERGER BERMAN MANAGEMENT LLC

CRD#: 5493

NEW YORK, NY

Past

June 16, 1997 - April 22, 1999

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

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: 10/15/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/1997

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: 6/12/1997

General Securities Representative 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

Tracy Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MMA SECURITIES LLC

SPECTRUM CAPITAL, LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SAGEVIEW ADVISORY GROUP, LLC

CETERA WEALTH SERVICES, LLC

NRP ADVISORS, INC.

NRP FINANCIAL, INC.

GIRARD SECURITIES, INC.

LPL FINANCIAL LLC

NEUBERGER BERMAN MANAGEMENT LLC

KEYBANC CAPITAL MARKETS INC.

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/1997

Series 63

Date: 10/9/1997

SIE

Date: 10/1/2018

Series 7

Date: 6/12/1997

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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