Michael Puglisi

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CRD#: 2834515

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Puglisi, who also goes by Pug Puglisi, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 26 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Pug Puglisi

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 1, 2016 - October 21, 2016

MMA SECURITIES LLC

CRD#: 44254

NEW YORK, NY

Past

December 11, 2012 - April 16, 2015

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

PLANTATION, FL

Past

July 21, 2008 - December 31, 2010

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

PLANTATION, FL

Past

May 29, 2007 - February 27, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

MIAMI, FL

Past

May 29, 2007 - February 27, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MIAMI, FL

Past

October 18, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

MIAMI, FL

Past

October 17, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

MIAMI, FL

Past

August 25, 2005 - November 7, 2005

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

MIAMI, FL

Past

July 1, 2005 - November 7, 2005

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

March 1, 2002 - March 9, 2005

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

ARLINGTON, VA

Past

March 1, 2002 - March 9, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

August 31, 2001 - September 28, 2001

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

September 29, 2000 - July 24, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 8, 1999 - November 7, 2000

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

February 19, 1998 - February 9, 1999

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

February 19, 1998 - February 9, 1999

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

April 7, 1997 - October 1, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 7, 1997 - October 1, 1997

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 4/1/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/16/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/21/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/4/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/30/2003

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 9

Date: 11/21/2000

General Securities Sales Supervisor - Options Module Examination

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

Michael Puglisi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

RAYMOND JAMES & ASSOCIATES, INC.

PRUDENTIAL EQUITY GROUP, LLC

PRUCO SECURITIES, LLC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/1999

Series 63

Date: 3/16/1998

SIE

Date: 10/21/2016

Series 7

Date: 4/4/1997

Series 26

Date: 7/30/2003

Series 9

Date: 11/21/2000

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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