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CP

Candy J. Palugi

MMA SECURITIES
New York, NY 10036
Some features on this profile are disabled
CRD#: 4062161
CP

Professional summary

Candy Johnson Palugi, who also goes by Candy C. Johnson, is a registered financial professional currently at MMA SECURITIES LLC located in New York, New York.

Candy is registered as a RR (Registered Representative) and started their career in finance in 2000. Candy has worked at 8 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 24, Series 4, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Candy C. Johnson

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) - BD

Click below to view Candy Johnson Palugi'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®
None

Experience

Current

April 15, 2026 - Present

MMA SECURITIES LLC

Office #1: 1166 Avenue Of The Americas, New York, NY 10036
RIA
BD
CRD#: 44254
New York, NY
Past

April 25, 2022 - June 28, 2023

WEDBUSH SECURITIES INC.

RIA
CRD#: 877
Lakeland, TN
Past

April 21, 2022 - June 28, 2023

WEDBUSH SECURITIES INC.

BD
CRD#: 877
PASADENA, CA
Past

March 26, 2012 - October 21, 2021

B. RILEY WEALTH MANAGEMENT

RIA
CRD#: 2543
MEMPHIS, TN
Past

March 26, 2012 - October 21, 2021

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MEMPHIS, TN
Past

April 24, 2008 - March 27, 2012

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
MEMPHIS, TN
Past

April 24, 2008 - March 27, 2012

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

April 2, 2007 - March 20, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
MEMPHIS, TN
Past

April 2, 2007 - March 20, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
MEMPHIS, TN
Past

September 22, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
MEMPHIS, TN
Past

September 22, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
MEMPHIS, TN
Past

January 16, 2004 - September 13, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MEMPHIS, TN
Past

July 1, 2003 - September 13, 2006

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MEMPHIS, TN
Past

November 14, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 2/16/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/13/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/15/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/22/2008
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/29/2003
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/24/2003
General Securities Sales Supervisor - Options Module Examination
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
MARSH INSURANCE & INVESTMENTS LLCOWNER
BARTKUS, BRIAN EDWARDSENIOR SUPERVISORY PRINCIPAL2827119
BLACKMORE, KIMBERLY LYNNFINOP, CFO, PFO, POO, AND DIRECTOR2219307
REID, CRAIG JPRESIDENT, DIRECTOR6280558
WEINSTOCK, JUDITH ANNCHIEF COMPLIANCE OFFICER, CHIEF COUNSEL AND DIRECTOR8096565

Disclosures

Regulatory Event3

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.

Company Information

MMA SECURITIES LLC

CRD#: 44254New York, NY 10036

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