Sean J. Mccloskey

MMA SECURITIES LLC

Boston, MA 02199

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CRD#: 2368252

Professional summary

Sean Joseph Mccloskey is a registered financial professional currently at MMA SECURITIES LLC located in Boston, Massachusetts.

Sean is registered as a RR (Registered Representative) and started their career in finance in 1993. Sean has worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Joseph Mccloskey's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 4, 2016 - Present

MMA SECURITIES LLC

Office #1: 101 Huntington Ave Suite 401, Boston, MA 02199

RIA

CRD#: 44254

Boston, MA

Past

August 6, 2014 - January 6, 2016

MMC SECURITIES LLC

CRD#: 103846

BOSTON, MA

Past

June 19, 2012 - May 23, 2014

THE NEW PENFACS INC.

CRD#: 145584

SOUTHBOROUGH, MA

Past

March 5, 2012 - May 3, 2012

P.J. ROBB VARIABLE, LLC

CRD#: 38339

MEMPHIS, TN

Past

July 19, 2006 - April 13, 2007

CINCINNATI ANALYSTS, INC.

CRD#: 5478

HYANNIS, MA

Past

December 8, 2003 - December 15, 2005

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

June 4, 2001 - April 30, 2002

KELMOORE INVESTMENT COMPANY, INC.

CRD#: 22509

PALO ALTO, CA

Past

July 13, 1993 - July 10, 2001

NEW ENGLAND SECURITIES

CRD#: 615

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".

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.

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

California
(4/6/2022)

Delaware
(7/18/2025)

Massachusetts
(1/6/2016)

North Carolina
(11/21/2024)

Texas
(7/18/2025)

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

Series 63

Date: 8/8/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/2/2012

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 8/7/2001

General Securities Representative Examination

SRO Registrations

FINRA

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

Sean J. Mccloskey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Joseph Mccloskey's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMC SECURITIES LLC

THE NEW PENFACS INC.

P.J. ROBB VARIABLE, LLC

CINCINNATI ANALYSTS, INC.

INVEST FINANCIAL CORPORATION

KELMOORE INVESTMENT COMPANY, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/8/2012

SIE

Date: 10/1/2018

Series 6

Date: 3/2/2012

Series 7

Date: 8/7/2001

FINRA

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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