MM
Mark H. Manderson
MMA SECURITIES LLC
Alpharetta, GA 30009
Some features on this profile are disabled
CRD#: 5682881
MM
Professional summary
Mark Herman Manderson, AIF®, who also goes by Mark Herman Manderson, is a registered financial advisor currently at MMA SECURITIES LLC located in Alpharetta, Georgia.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Mark has worked at 5 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Herman Manderson
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. 2. Pension Education Council of Atlanta; Investment Related; 2635 Century Parkway NE Suite 200 Atlanta, GA 30345; Non-Profit - PECA is a continuing education and networking organization for benefits and plan specialists. Board Member; Start Date 4.01.2025; 1-2 hours per month; 1 hr during trading hours; Educational event planning
CRS (Client Relationship Summary) - RIA
Click below to view Mark Herman Manderson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Herman Manderson'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
October 5, 2023 - Present
MMA SECURITIES LLC
Office #1: 100 Kimball Place, Suite 300, Alpharetta, GA 30009RIA
BD
CRD#: 44254
Alpharetta, GA
Current
September 15, 2023 - Present
MMA SECURITIES LLC
Office #1: 100 Kimball Place, Suite 300, Alpharetta, GA 30009RIA
BD
CRD#: 44254
Alpharetta, GA
Past
May 2, 2022 - August 31, 2023
ONEDIGITAL
RIA
CRD#: 106766
Atlanta, GA
Past
May 12, 2021 - December 10, 2021
USI SECURITIES, INC.
BD
CRD#: 43793
GLASTONBURY, CT
Past
May 10, 2021 - December 10, 2021
USI ADVISORS
RIA
CRD#: 108113
ATLANTA, GA
Past
June 22, 2010 - July 26, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
ATLANTA, GA
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
Alabama(9/15/2023)
RR
California(11/22/2024)
RR
Florida(9/15/2023)
RR
Georgia(9/15/2023)
IAR
Georgia(10/5/2023)
RR
Illinois(7/31/2024)
RR
Mississippi(9/15/2023)
RR
North Carolina(9/15/2023)
RR
South Carolina(9/15/2023)
RR
Tennessee(9/15/2023)
IAR
Texas(6/19/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 5/10/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
