Patrick N. Tschetter

MMA SECURITIES LLC

Snohomish, WA

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CRD#: 2543601

Professional summary

Patrick Neil Tschetter, who also goes by Pat Tschetter, Patrick Tschetter, is a registered financial advisor currently at MMA SECURITIES LLC located in Snohomish, Washington.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Patrick has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Pat Tschetter | Patrick Tschetter

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 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Neil Tschetter's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Patrick Neil Tschetter'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

February 28, 2025 - Present

MMA SECURITIES LLC

RIA

CRD#: 44254

Snohomish, WA

Current

February 28, 2025 - Present

MMA SECURITIES LLC

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

RIA

CRD#: 44254

Boston, MA

Past

January 27, 2025 - February 3, 2025

THE BALDWIN GROUP WEALTH ADVISORS, LLC

RIA

CRD#: 312284

SEATTLE, WA

Past

June 4, 2018 - January 14, 2025

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

SEATTLE, WA

Past

October 25, 2016 - January 14, 2025

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Seattle, WA

Past

October 25, 2010 - August 23, 2012

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

PLYMOUTH, MN

Past

May 4, 2009 - November 27, 2009

SIGNATOR INVESTORS, INC.

CRD#: 468

MINNEAPOLIS, MN

Past

April 3, 2008 - November 17, 2008

SCARBOROUGH SECURITIES CORPORATION

CRD#: 44858

IRVINGTON, NY

Past

November 29, 2002 - September 15, 2006

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

December 13, 2000 - November 29, 2002

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

June 28, 1999 - December 13, 2000

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

August 29, 1997 - March 8, 1999

ARK FUNDS DISTRIBUTORS, LLC

CRD#: 17685

PORTLAND, ME

Past

November 15, 1995 - June 19, 1997

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

November 18, 1994 - October 13, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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.

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
(2/28/2025)

IAR

California
(3/3/2025)

Idaho
(2/28/2025)

IAR

Idaho
(3/3/2025)

Illinois
(2/28/2025)

IAR

Illinois
(3/11/2025)

Michigan
(2/28/2025)

IAR

Michigan
(3/5/2025)

Montana
(2/28/2025)

IAR

Montana
(3/13/2025)

Oregon
(2/28/2025)

IAR

Oregon
(3/4/2025)

Washington
(2/28/2025)

IAR

Washington
(2/28/2025)

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

Exams

State Security Law Exam

IAR

Series 65

Date: 1/17/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/31/2016

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: 10/25/2016

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 11/8/1994

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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Firm Stability Insights

Patrick N. Tschetter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Neil Tschetter's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Patrick Neil Tschetter's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMA SECURITIES LLC

THE BALDWIN GROUP WEALTH ADVISORS, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

SIGNATOR INVESTORS, INC.

SCARBOROUGH SECURITIES CORPORATION

WELLS FARGO BROKERAGE SERVICES, L.L.C.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

ARK FUNDS DISTRIBUTORS, LLC

U.S. BANCORP INVESTMENTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/17/2018

Series 63

Date: 10/31/2016

SIE

Date: 10/1/2018

Series 6

Date: 10/25/2016

Series 7

Date: 11/8/1994

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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