JM
James S. Morris
MMA SECURITIES LLC
McLean, VA 22102
Some features on this profile are disabled
CRD#: 4874474
JM
Professional summary
James Shannon Morris, who also goes by James S Morris Mr, James S Morris, Jim Morris, is a registered financial advisor currently at MMA SECURITIES LLC located in Mclean, Virginia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James S Morris Mr | James S Morris | Jim Morris
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. The Registered Representative is an employee of Marsh & McLennan Agency LLC ("MMA"), 1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities for MMA (e.g. support for its insurance services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities LLC activities remain subject to the Firm's supervisory framework.
CRS (Client Relationship Summary) - RIA
Click below to view James Shannon Morris's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Shannon Morris'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
December 20, 2023 - Present
MMA SECURITIES LLC
Office #1: 1751 Pinnacle Drive Suite 1800, Mclean, VA 22102RIA
BD
CRD#: 44254
McLean, VA
Current
December 20, 2023 - Present
MMA SECURITIES LLC
Office #1: 1751 Pinnacle Drive Suite 1800, Mclean, VA 22102RIA
BD
CRD#: 44254
McLean, VA
Past
July 6, 2022 - December 15, 2023
UNITED BROKERAGE SERVICES, INC
RIA
CRD#: 39062
VIENNA, VA
Past
March 5, 2022 - December 15, 2023
UNITED BROKERAGE SERVICES, INC
BD
CRD#: 39062
VIENNA, VA
Past
March 11, 2016 - December 31, 2020
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
SPRINGFIELD, MA
Past
March 31, 2015 - November 5, 2015
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
July 22, 2013 - March 31, 2015
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
August 9, 2010 - July 22, 2013
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
BETHESDA, MD
Past
August 6, 2010 - July 22, 2013
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
BETHESDA, MD
Past
January 14, 2005 - July 29, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ROCKVILLE, MD
Past
December 16, 2004 - July 29, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ROCKVILLE, MD
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
Delaware(12/20/2023)
RR
District of Columbia(12/20/2023)
RR
Maryland(12/20/2023)
IAR
Maryland(12/20/2023)
RR
North Carolina(12/20/2023)
RR
Pennsylvania(12/20/2023)
RR
Virginia(12/20/2023)
IAR
Virginia(10/30/2024)
RR
Wisconsin(10/24/2024)
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
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.
