Joseph E. Bartnicki

MMA SECURITIES LLC

Conshohocken, PA 19428

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CRD#: 2501032

Professional summary

Joseph Eugene Bartnicki is a registered financial advisor currently at MMA SECURITIES LLC located in Conshohocken, Pennsylvania and MMA ASSET MANAGEMENT LLC located in Conshohocken, Pennsylvania.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Joseph has worked at 14 firms and has passed the Series 66, Series 63, Series 22TO, SIE, Series 7, Series 6 and Series 26 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.

1. Investment adviser representative of MMA ASSET MANAGEMENT LLC (8 Tower Bridge Suite 1200, Conshohocken, PA), an affiliate of MMA Securities LLC. STARTED IN 2009. 2HRS/ MONTH 2. The Registered Representative is an employee of Marsh & McLennan Agency LLC ("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 99% 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Eugene Bartnicki'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

May 28, 2019 - Present

MMA SECURITIES LLC

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

RIA

CRD#: 44254

Conshohocken, PA

Current

June 17, 2020 - 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

December 17, 2014 - January 27, 2020

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Plymouth Meeting, PA

Past

January 3, 2011 - December 31, 2019

THE CENTURION GROUP, LLC

RIA

CRD#: 155430

PLYMOUTH MEETING, PA

Past

November 30, 2010 - November 17, 2014

LPL FINANCIAL LLC

CRD#: 6413

PLYMOUTH MEETING, PA

Past

January 4, 2010 - December 1, 2010

NRP ADVISORS, INC.

RIA

CRD#: 141430

PLYMOUTH MEETING, PA

Past

August 3, 2007 - November 30, 2010

NRP FINANCIAL, INC.

CRD#: 103717

PLYMOUTH MEETING, PA

Past

January 11, 2007 - August 6, 2007

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

WARREN, NJ

Past

February 3, 2005 - December 31, 2006

GBS RETIREMENT SERVICES, INC.

CRD#: 34889

WHITE PLAINS, NY

Past

July 1, 2003 - January 11, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 15, 2002 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 24, 2001 - December 4, 2001

BNY MELLON SECURITIES LLC

CRD#: 47268

JERSEY CITY, NJ

Past

January 1, 1997 - September 21, 2000

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

July 25, 1994 - January 1, 1997

PRUDENTIAL RETIREMENT SERVICES, INC.

CRD#: 25058

NEWARK, 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".

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

Louisiana
(1/27/2020)

New Jersey
(1/2/2020)

IAR

Pennsylvania
(5/28/2019)

Pennsylvania
(1/27/2020)

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 66

Date: 12/17/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/28/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/14/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/22/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/25/1999

Investment Company Products/Variable Contracts Principal 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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Joseph E. Bartnicki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Eugene Bartnicki's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMA ASSET MANAGEMENT LLC

MMA SECURITIES LLC

PURSHE KAPLAN STERLING INVESTMENTS

THE CENTURION GROUP, LLC

LPL FINANCIAL LLC

NRP ADVISORS, INC.

NRP FINANCIAL, INC.

KESTRA INVESTMENT SERVICES, LLC

GBS RETIREMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

BNY MELLON SECURITIES LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUDENTIAL RETIREMENT SERVICES, INC.

Primary Firm SEC Registration

MMA ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/17/2009

Series 63

Date: 7/28/1994

Series 22TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/14/2002

Series 6

Date: 6/22/1994

Series 26

Date: 8/25/1999

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

Contact information

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