Brian E. Bartkus

MMA SECURITIES LLC

Palm Beach Gardens, FL 33410

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CRD#: 2827119

Professional summary

Brian Edward Bartkus, CFP® is a registered financial advisor currently at MMA SECURITIES LLC located in Palm Beach Gardens, Florida.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Brian has worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7 and Series 24 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. CHARLES RIVER RACING STABLES, NOT INVESTMENT RELATED, 102 STOW STREET, WALTHAM, MA, COMMENCED ON 4/1/2011, MINORITY SILENT PARTNER, THOROUGHBRED RACE HORSES, 0 HOURS TIME SPENT during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Edward Bartkus's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Brian Edward Bartkus'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®

CFP^®

Certified Financial Planner

Experience

Current

March 30, 2021 - Present

MMA SECURITIES LLC

Office #1: 4400 Pga Boulevard Suite 1000, Palm Beach Gardens, FL 33410Office #2: 101 Huntington Ave Suite 401, Boston, MA 02199

RIA

CRD#: 44254

Palm Beach Gardens, FL

Current

January 4, 2016 - Present

MMA SECURITIES LLC

Office #1: 4400 Pga Boulevard Suite 1000, Palm Beach Gardens, FL 33410Office #2: 101 Huntington Ave Suite 401, Boston, MA 02199

RIA

CRD#: 44254

Palm Beach Gardens, FL

Past

August 31, 2011 - February 10, 2016

MMC SECURITIES LLC

CRD#: 103846

BOSTON, MA

Past

August 20, 2007 - September 8, 2011

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

BOSTON, MA

Past

November 6, 2006 - August 23, 2007

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

NEWTON, MA

Past

August 29, 2001 - December 31, 2005

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

NEWTON, MA

Past

April 24, 2001 - August 21, 2007

INVESTACORP, INC.

CRD#: 7684

NEWTON, MA

Past

September 17, 1998 - May 9, 2001

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

February 7, 1997 - August 20, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 7, 1997 - August 20, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Alabama
(3/17/2020)

Alaska
(3/17/2020)

Arizona
(3/17/2020)

Arkansas
(3/17/2020)

California
(3/17/2020)

Colorado
(3/17/2020)

Connecticut
(3/17/2020)

Delaware
(3/17/2020)

District of Columbia
(3/17/2020)

Florida
(3/17/2020)

Georgia
(3/17/2020)

Hawaii
(6/22/2016)

Idaho
(3/17/2020)

Illinois
(3/17/2020)

Indiana
(3/17/2020)

Iowa
(3/17/2020)

Kansas
(3/17/2020)

Kentucky
(3/17/2020)

Louisiana
(3/17/2020)

Maine
(3/17/2020)

Maryland
(3/17/2020)

Massachusetts
(2/10/2016)

IAR

Massachusetts
(3/30/2021)

Michigan
(3/17/2020)

Minnesota
(3/17/2020)

Mississippi
(3/17/2020)

Missouri
(3/17/2020)

Montana
(3/17/2020)

Nebraska
(3/17/2020)

Nevada
(3/17/2020)

New Hampshire
(1/4/2016)

New Jersey
(3/17/2020)

New Mexico
(3/17/2020)

New York
(1/4/2016)

North Carolina
(3/17/2020)

North Dakota
(3/17/2020)

Ohio
(3/17/2020)

Oklahoma
(3/17/2020)

Oregon
(3/17/2020)

Pennsylvania
(3/17/2020)

Rhode Island
(1/4/2016)

South Carolina
(3/17/2020)

South Dakota
(3/17/2020)

Tennessee
(7/15/2016)

Texas
(1/4/2016)

Utah
(3/17/2020)

Vermont
(3/17/2020)

Virginia
(3/17/2020)

Washington
(3/17/2020)

West Virginia
(3/17/2020)

Wisconsin
(3/17/2020)

Wyoming
(3/17/2020)

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: 5/5/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/13/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/6/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/8/2002

General Securities Principal 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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Brian E. Bartkus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Edward Bartkus's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brian Edward Bartkus's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMA SECURITIES LLC

MMC SECURITIES LLC

KESTRA INVESTMENT SERVICES, LLC

INVESTACORP ADVISORY SERVICES INC

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

MML INVESTORS SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/5/2015

Series 63

Date: 2/13/1997

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/6/1997

Series 24

Date: 3/8/2002

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

Contact information

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