Nelson D. Rinehart

MMA SECURITIES LLC

York, PA

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CRD#: 2617636

Professional summary

Nelson David Rinehart, CFA, who also goes by David Rinehart, N David Rinehart, is a registered financial advisor currently at MMA SECURITIES LLC located in York, Pennsylvania.

Nelson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Nelson has worked at 14 firms and has passed the Series 63, Series 7TO, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Rinehart | N David Rinehart

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) - RIA

Click below to view Nelson David Rinehart's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Nelson David Rinehart'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®

CFA

Chartered Financial Analyst

Experience

Current

April 3, 2023 - Present

MMA SECURITIES LLC

RIA

CRD#: 44254

York, PA

Current

April 3, 2023 - Present

MMA SECURITIES LLC

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

RIA

CRD#: 44254

Boston, MA

Past

May 2, 2022 - April 3, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

November 30, 2021 - March 24, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

York, PA

Past

October 10, 2014 - July 7, 2017

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Aliso Viejo, CA

Past

January 10, 2012 - June 30, 2017

WEALTHSPIRE RETIREMENT ADVISORY

RIA

CRD#: 121254

RED LION, PA

Past

May 23, 2011 - July 23, 2014

FINANCIAL TELESIS INC

CRD#: 31012

ALISO VIEJO, CA

Past

June 20, 2007 - August 4, 2010

FMA ADVISORY INC

RIA

CRD#: 107529

HARRISBURG, PA

Past

December 18, 2006 - June 13, 2007

FIRST SAVINGS SECURITIES, INC.

CRD#: 132016

DOYLESTOWN, PA

Past

December 5, 2006 - June 13, 2007

PAPALIA ASSET MANAGEMENT, INC.

RIA

CRD#: 119507

DANVILLE, PA

Past

September 18, 2006 - November 24, 2006

ARIS WEALTH SERVICES INC

RIA

CRD#: 104577

STATE COLLEGE, PA

Past

July 2, 2004 - November 16, 2004

SAFEGUARD SECURITIES, INC.

CRD#: 31256

MAYFIELD HEIGHTS, OH

Past

September 16, 1998 - January 31, 2002

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

May 13, 1997 - September 8, 1998

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

June 16, 1995 - December 12, 1995

ALLFIRST BROKERAGE CORPORATION

CRD#: 17531

BALTIMORE, MD

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(4/3/2023)

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: 8/16/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/30/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/5/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/20/2011

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 7/1/2004

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

Nelson D. Rinehart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nelson David Rinehart's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nelson David Rinehart's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMA SECURITIES LLC

LPL FINANCIAL LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

WEALTHSPIRE RETIREMENT ADVISORY

FINANCIAL TELESIS INC

FMA ADVISORY INC

FIRST SAVINGS SECURITIES, INC.

PAPALIA ASSET MANAGEMENT, INC.

ARIS WEALTH SERVICES INC

SAFEGUARD SECURITIES, INC.

LEGG MASON WOOD WALKER, INCORPORATED

SEI INVESTMENTS DISTRIBUTION CO.

ALLFIRST BROKERAGE CORPORATION

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/16/2011

Series 7TO

Date: 11/30/2021

SIE

Date: 11/5/2021

Series 6

Date: 5/20/2011

Series 7

Date: 7/1/2004

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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