Andrew M. Ziergiebel

MMA SECURITIES LLC

Boston, MA 02199

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CRD#: 5139113

Professional summary

Andrew Michael Ziergiebel is a registered financial advisor currently at MMA SECURITIES LLC located in Boston, Massachusetts.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Andrew has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. Rental Income; not investment-related; 762 E Broadway Boston MA, 02127; Nature-Rental Property; Position - Owner; Start Date 1.1.2018; 2 hrs/month during business hours, 0 hours a month during trading hours; Duties - Owner / Maintenance 2. 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. 3. Boston Harbor Yacht Club; not investment related; 1805 Day Blvd Boston, MA 02127, Yacht Club Board of Trustees - Board Member; Start 2018; 4 hrs/month , 0 hrs/month during trading hours; Duties - As a board member, make decision to better Yacht Club.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Michael Ziergiebel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Andrew Michael Ziergiebel'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

December 6, 2023 - Present

MMA SECURITIES LLC

Office #1: 101 Huntington Ave Suite 401, Boston, MA 02199

RIA

CRD#: 44254

Boston, MA

Current

January 4, 2016 - Present

MMA SECURITIES LLC

Office #1: 101 Huntington Ave Suite 401, Boston, MA 02199

RIA

CRD#: 44254

Boston, MA

Past

December 9, 2014 - January 6, 2016

MMC SECURITIES LLC

CRD#: 103846

BOSTON, MA

Past

April 21, 2010 - May 6, 2013

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

February 29, 2008 - April 8, 2010

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

BOSTON, MA

Past

June 1, 2006 - February 29, 2008

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

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".

MMA SECURITIES LLC

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alaska
(1/6/2016)

Arizona
(1/4/2016)

Arkansas
(1/4/2016)

California
(1/4/2016)

Colorado
(1/4/2016)

Connecticut
(1/4/2016)

Delaware
(1/4/2016)

District of Columbia
(1/4/2016)

Florida
(1/4/2016)

Georgia
(1/4/2016)

Idaho
(1/4/2016)

Illinois
(3/1/2016)

Indiana
(1/6/2016)

Iowa
(1/4/2016)

Kansas
(1/4/2016)

Kentucky
(1/4/2016)

Louisiana
(1/4/2016)

Maine
(12/9/2019)

Maryland
(1/4/2016)

Massachusetts
(1/6/2016)

IAR

Massachusetts
(12/6/2023)

Michigan
(1/4/2016)

Minnesota
(1/4/2016)

Mississippi
(1/4/2016)

Missouri
(1/4/2016)

Montana
(1/4/2016)

Nebraska
(1/5/2016)

Nevada
(1/6/2016)

New Hampshire
(1/4/2016)

New Jersey
(1/4/2016)

New Mexico
(9/15/2016)

New York
(1/4/2016)

IAR

New York
(6/20/2025)

North Carolina
(1/7/2016)

North Dakota
(1/4/2016)

Ohio
(1/4/2016)

Oklahoma
(1/4/2016)

Oregon
(1/6/2016)

Pennsylvania
(1/6/2016)

Rhode Island
(1/4/2016)

South Carolina
(1/4/2016)

South Dakota
(1/4/2016)

Texas
(1/4/2016)

Utah
(1/6/2016)

Vermont
(1/4/2016)

Virginia
(1/6/2016)

Washington
(1/4/2016)

West Virginia
(1/6/2016)

Wisconsin
(1/4/2016)

Wyoming
(1/4/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/14/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/31/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MMA SECURITIES LLC

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)

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

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

Name	Position	CRD#
MARSH INSURANCE & INVESTMENTS LLC	OWNER
BARTKUS, BRIAN EDWARD	SENIOR SUPERVISORY PRINCIPAL	2827119
BLACKMORE, KIMBERLY LYNN	FINOP, CFO, PFO, POO, AND DIRECTOR	2219307
REID, CRAIG J	PRESIDENT, DIRECTOR	6280558
WEINSTOCK, JUDITH ANN	CHIEF COMPLIANCE OFFICER, CHIEF COUNSEL AND DIRECTOR	8096565

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Andrew M. Ziergiebel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Michael Ziergiebel's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Andrew Michael Ziergiebel's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMA SECURITIES LLC

MMC SECURITIES LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

MFS FUND DISTRIBUTORS, INC.

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/14/2023

Series 63

Date: 7/10/2006

SIE

Date: 10/1/2018

Series 6

Date: 5/31/2006

FINRA

Current Firm

MMA SECURITIES LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MMA SECURITIES LLC

TRUST BUT VERIFY

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