SF
Seth A. Fineman
MMA SECURITIES LLC
Minneapolis, MN 55416
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CRD#: 2644727
SF
Professional summary
Seth Adam Fineman is a registered financial advisor currently at MMA SECURITIES LLC located in Minneapolis, Minnesota.
Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Seth has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 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.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Seth Adam Fineman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Seth Adam Fineman's 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®
NoneExperience
Current
February 23, 2021 - Present
MMA SECURITIES LLC
Office #1: 6160 Golden Hills Drive, Minneapolis, MN 55416RIA
BD
CRD#: 44254
Minneapolis, MN
Current
February 23, 2021 - Present
MMA SECURITIES LLC
Office #1: 6160 Golden Hills Drive, Minneapolis, MN 55416RIA
BD
CRD#: 44254
Minneapolis, MN
Past
June 4, 2019 - January 21, 2021
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
MINNETONKA, MN
Past
May 30, 2019 - January 21, 2021
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
MINNETONKA, MN
Past
March 8, 2016 - July 2, 2018
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
St Louis Park, MN
Past
March 8, 2016 - July 2, 2018
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
HARRISON, NY
Past
October 14, 2014 - January 26, 2016
MISSIONSQUARE RETIREMENT
RIA
CRD#: 108783
ST LOUIS PARK, MN
Past
August 8, 2014 - January 26, 2016
MISSIONSQUARE INVESTMENT SERVICES
BD
CRD#: 23189
ANNE ARBOR, MI
Past
June 10, 2004 - June 26, 2009
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
EDINA, MN
Past
June 7, 2004 - September 6, 2013
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
EDINA, MN
Past
April 4, 2002 - June 11, 2003
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
January 16, 1996 - March 20, 2001
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
July 26, 1995 - December 4, 1995
MULTI-BANK SECURITIES, INC.
BD
CRD#: 22098
SOUTHFIELD, MI
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".
MS
MMA SECURITIES LLC
COMPASS FINANCIAL PARTNERS | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE
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)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
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
RR
Minnesota(2/23/2021)
IAR
Minnesota(2/23/2021)
IAR
Nebraska(6/20/2025)
IAR
Wisconsin(6/24/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/18/1998
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
MS
MMA SECURITIES LLC
COMPASS FINANCIAL PARTNERS | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE
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)BD
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
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
