NR
Nathan D. Rasmussen
MMA SECURITIES LLC
Boston, MA 02199
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CRD#: 5111674
NR
Professional summary
Nathan Dean Rasmussen, AIF®, who also goes by Nathan Rasmussen, is a registered financial advisor currently at MMA SECURITIES LLC located in Boston, Massachusetts.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Nathan has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nathan Rasmussen
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.
Member of Retirement Advisory Council / the Council advocates for successful qualified plan and participant retirement outcomes through the collaborative efforts of experienced, qualified retirement plan advisors, investment firms and asset managers, and defined contribution plan service providers. The Council advocates for successful qualified plan and participant retirement outcomes through the collaborative efforts of experienced, qualified retirement plan advisors, investment firms and asset managers, and defined contribution plan service providers. Start Date: January 18, 2019. The approximate number of hours/month devoted to the other business; 5-10, the number of hours devoted to the other business during securities trading hours; 1-2/month and briefly describe the duties relating to the other business. Participate in conference calls, and in person meetings twice per year.
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Dean Rasmussen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nathan Dean Rasmussen'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
August 8, 2016 - Present
MMA SECURITIES LLC
Office #1: 101 Huntington Ave Suite 401, Boston, MA 02199RIA
BD
CRD#: 44254
Boston, MA
Current
July 8, 2016 - Present
MMA SECURITIES LLC
Office #1: 101 Huntington Ave Suite 401, Boston, MA 02199RIA
BD
CRD#: 44254
Boston, MA
Past
April 25, 2016 - July 13, 2016
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
HINGHAM, MA
Past
June 13, 2013 - July 13, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
BETHESDA, MD
Past
April 10, 2012 - July 13, 2016
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
BETHESDA, MD
Past
April 25, 2006 - March 22, 2012
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
BOSTON, MA
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
Connecticut(7/8/2016)
RR
Maine(12/9/2019)
RR
Massachusetts(7/8/2016)
IAR
Massachusetts(8/8/2016)
RR
New Hampshire(7/8/2016)
RR
New York(7/8/2016)
RR
Vermont(7/8/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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#: 44254Boston, MA 02199TRUST BUT VERIFY
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