Kevin J. Broderick

MMA SECURITIES LLC

Conshohocken, PA 19428

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CRD#: 2470823

Professional summary

Kevin James Broderick, who also goes by Kevin J Broderick, is a registered financial advisor currently at MMA SECURITIES LLC located in Conshohocken, Pennsylvania and MMA ASSET MANAGEMENT LLC located in Conshohocken, Pennsylvania.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kevin has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin J Broderick

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. The Registered Representative is an employee of MMA Agency (1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities (up to approximately 10% of his time) for MMA Agency (e.g. support for its health & benefits services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities activities remain subject to the Firm's supervisory framework.. 2. Investment adviser representative of MMA ASSET MANAGEMENT LLC (8 Tower Bridge Suite 1200, Conshohocken, PA), an affiliate of MMA Securities LLC. Provides wealth management and financial planning services during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin James Broderick'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 2, 2024 - Present

MMA SECURITIES LLC

Office #1: Eight Tower Bridge, Suite 1200, Conshohocken, PA 19428

RIA

CRD#: 44254

Conshohocken, PA

Current

March 28, 2024 - Present

MMA ASSET MANAGEMENT LLC

Office #1: 161 Washington Street Suite 1200, Conshohocken, PA 19428

RIA

CRD#: 155426

CONSHOHOCKEN, PA

Current

January 2, 2020 - Present

MMA SECURITIES LLC

Office #1: Eight Tower Bridge, Suite 1200, Conshohocken, PA 19428

RIA

CRD#: 44254

Conshohocken, PA

Past

November 20, 2014 - January 27, 2020

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Plymouth Meeting, PA

Past

November 30, 2010 - November 17, 2014

LPL FINANCIAL LLC

CRD#: 6413

PLYMOUTH MEETING, PA

Past

December 19, 2006 - November 30, 2010

NRP FINANCIAL, INC.

CRD#: 103717

PLYMOUTH MEETING, PA

Past

July 12, 2002 - December 19, 2006

GBS RETIREMENT SERVICES, INC.

CRD#: 34889

WHITE PLAINS, NY

Past

July 5, 2001 - July 15, 2002

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

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 ASSET MANAGEMENT LLC

CENTURION ASSET MANAGEMENT | MMA ASSET MANAGEMENT LLC | COMPASS FINANCIAL PARTNERS | CENTURION ASSET MANAGEMENT, LLC

CRD#: 155426 / SEC#: 801-71975

RIA

Registered Investment Advisory firm - (11/10/2010 Approved)

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.

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
(7/11/2024)

Florida
(1/2/2020)

Massachusetts
(1/2/2020)

New Jersey
(1/2/2020)

New York
(1/2/2020)

Pennsylvania
(1/2/2020)

IAR

Pennsylvania
(1/2/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/17/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/14/2002

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: 7/2/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MMA ASSET MANAGEMENT LLC

CENTURION ASSET MANAGEMENT | MMA ASSET MANAGEMENT LLC | COMPASS FINANCIAL PARTNERS | CENTURION ASSET MANAGEMENT, LLC

CRD#: 155426 / SEC#: 801-71975

RIA

Registered Investment Advisory firm - (11/10/2010 Approved)

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Contact information

Main Address

161 Washington Street Suite 1200, Conshohocken, PA 19428

Mailing Address

1166 Avenue Of The Americas, New York, NY 10036

Phone number

(610) 684-3200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MMA ASSET MANAGEMENT - INSTITUTIONAL FIRM BROCHURE 03.2025 (3/27/2025)

MMA ASSET MANAGEMENT - RETAIL FIRM BROCHURE 03.2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	555
AUM (Assets Under Management)	$ 715,242,096

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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Kevin J. Broderick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin James Broderick's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMA ASSET MANAGEMENT LLC

MMA SECURITIES LLC

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

NRP FINANCIAL, INC.

GBS RETIREMENT SERVICES, INC.

CETERA WEALTH SERVICES, LLC

Primary Firm SEC Registration

MMA ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/2023

Series 63

Date: 1/14/2002

SIE

Date: 10/1/2018

Series 6

Date: 7/2/2001

FINRA

Current Firm

MMA ASSET MANAGEMENT LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MMA ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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