BW
Brent A. Wieck
MMA SECURITIES LLC
Leawood, KS 66211
Some features on this profile are disabled
CRD#: 2979479
BW
Professional summary
Brent Alan Wieck is a registered financial advisor currently at MMA SECURITIES LLC located in Leawood, Kansas.
Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Brent has worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 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.
WIECK BROTHERS, LP POSITION: OWNER NATURE: FAMILY FARM INVESTMENT RELATED: NO NUMBER OF HOURS: 0 INVESTMENT RELATED HOURS: 0 START DATE: 12/01/2003 ADDRESS: 555 STAGECOACH RD, GRAND ISLAND NE 68801 DESCRIPTION: MINORITY OWNER IN FAMILY FARM. I HAVE NO DUTIES OR ACTIVITIES RELATED TO THE FARM.
CRS (Client Relationship Summary) - RIA
Click below to view Brent Alan Wieck's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brent Alan Wieck'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
January 20, 2023 - Present
MMA SECURITIES LLC
Office #1: 7015 College Blvd, Leawood, KS 66211RIA
BD
CRD#: 44254
Leawood, KS
Current
September 23, 2022 - Present
MMA SECURITIES LLC
Office #1: 7015 College Blvd, Leawood, KS 66211RIA
BD
CRD#: 44254
Leawood, KS
Past
September 11, 2012 - April 21, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
Past
December 23, 2011 - August 28, 2012
TD AMERITRADE, INC.
RIA
CRD#: 7870
OMAHA, NE
Past
December 23, 2011 - August 28, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
OMAHA, NE
Past
December 19, 2011 - August 28, 2012
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
June 6, 2008 - December 23, 2011
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
OMAHA, NE
Past
May 12, 2008 - December 23, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
OMAHA, NE
Past
September 18, 2006 - April 22, 2008
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
OMAHA, NE
Past
August 29, 2006 - April 22, 2008
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
OMAHA, NE
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
California(9/23/2022)
RR
Colorado(9/23/2022)
RR
Florida(9/23/2022)
RR
Georgia(9/23/2022)
RR
Illinois(9/23/2022)
RR
Kansas(9/23/2022)
IAR
Kansas(1/20/2023)
RR
Michigan(9/23/2022)
RR
Minnesota(9/23/2022)
RR
Missouri(9/23/2022)
RR
Oklahoma(9/23/2022)
RR
Texas(9/23/2022)
RR
Wisconsin(9/23/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
