TS
Timothy L. Swanson
MMA SECURITIES LLC
Greensboro, NC 27408
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CRD#: 4367261
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Professional summary
Timothy Lee Swanson, CFA, who also goes by Tim Swanson, is a registered financial advisor currently at MMA SECURITIES LLC located in Greensboro, North Carolina.
Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Timothy has worked at 3 firms and has passed the Series 62 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Swanson
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. 8/28/2018 - Compass Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/16/2018 - 40 Hours Per Month/32 Hours During Securities Trading. 2. 4/21/2021 - MMA Agency - Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Started 01/01/2021 - 175 Hours Per Month During Securities Trading - Employee of MMA Agency and delegated to MMA Securities as IAR; MMA Securities is an SEC registered investment adviser and a registered broker dealer.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Lee Swanson'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®
Experience
Current
April 3, 2023 - Present
MMA SECURITIES LLC
Office #1: 701 Green Valley Rd Suite 308, Greensboro, NC 27408Office #2: 701 Green Valley Road Suite 301, Greensboro, NC 27408RIA
BD
CRD#: 44254
Greensboro, NC
Past
May 10, 2018 - April 3, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
GREENSBORO, NC
Past
December 20, 2003 - December 31, 2006
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
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.Highlighted states indicate IAR registrations
IAR
North Carolina(4/3/2023)
Exams
General Industry/Product Exam
RR
Series 62
Date: 12/19/2003
Corporate Securities Limited Representative ExaminationCurrent 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MMA SECURITIES LLC
CRD#: 44254Greensboro, NC 27408TRUST BUT VERIFY
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