JC
Jonathan J. Connors
MMA SECURITIES LLC
Raleigh, NC 27612
Some features on this profile are disabled
CRD#: 4650209
JC
Professional summary
Jonathan Jacob Connors, AIF®, who also goes by Jake Connors, is a registered financial advisor currently at MMA SECURITIES LLC located in Raleigh, North Carolina.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Jonathan has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jake Connors
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.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Jacob Connors's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Jacob Connors'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: 2301 Sugar Bush Road Suite 600, Raleigh, NC 27612RIA
BD
CRD#: 44254
Raleigh, NC
Current
April 3, 2023 - Present
MMA SECURITIES LLC
Office #1: 2301 Sugar Bush Road Suite 600, Raleigh, NC 27612RIA
BD
CRD#: 44254
Raleigh, NC
Past
November 6, 2014 - April 3, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
RALEIGH, NC
Past
November 6, 2014 - April 3, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
RALEIGH, NC
Past
April 7, 2008 - October 23, 2014
CAPFINANCIAL SECURITIES, LLC.
RIA
CRD#: 126291
RALEIGH, NC
Past
April 7, 2008 - October 23, 2014
CAPFINANCIAL SECURITIES, LLC.
BD
CRD#: 126291
RALEIGH, NC
Past
June 20, 2003 - March 6, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
RALEIGH, NC
Past
June 5, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 5, 2003 - March 6, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
RALEIGH, NC
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
North Carolina(4/3/2023)
IAR
North Carolina(4/3/2023)
RR
Virginia(6/22/2023)
IAR
Virginia(6/23/2023)
Exams
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MMA SECURITIES LLC
CRD#: 44254Raleigh, NC 27612TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
