Erik Pflaum

MMA SECURITIES LLC

San Diego, CA 92122

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CRD#: 5861482

Professional summary

Erik Pflaum, AIF®, CFP®, who also goes by Erik Timothy Pflaum, is a registered financial advisor currently at MMA SECURITIES LLC located in San Diego, California.

Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Erik has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erik Timothy Pflaum

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Pflaum's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Erik Pflaum'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Experience

Current

May 23, 2018 - Present

MMA SECURITIES LLC

Office #1: 9171 Towne Centre Drive Suite 100, San Diego, CA 92122

RIA

CRD#: 44254

San Diego, CA

Current

May 23, 2018 - Present

MMA SECURITIES LLC

Office #1: 9171 Towne Centre Drive Suite 100, San Diego, CA 92122

RIA

CRD#: 44254

San Diego, CA

Past

June 20, 2018 - July 6, 2018

OSAIC SERVICES, INC.

RIA

CRD#: 133763

SAN DIEGO, CA

Past

June 20, 2018 - July 6, 2018

OSAIC SERVICES, INC.

CRD#: 133763

SAN DIEGO, CA

Past

October 12, 2017 - June 18, 2018

OSAIC SERVICES, INC.

RIA

CRD#: 133763

SAN DIEGO, CA

Past

October 12, 2017 - June 18, 2018

OSAIC SERVICES, INC.

CRD#: 133763

SAN DIEGO, CA

Past

January 12, 2016 - September 11, 2017

LPL FINANCIAL LLC

CRD#: 6413

PORTLAND, OR

Past

November 9, 2012 - December 21, 2015

STANCORP INVESTMENT ADVISERS, INC.

RIA

CRD#: 110228

PORTLAND, OR

Past

May 21, 2012 - December 21, 2015

STANCORP EQUITIES, INC.

CRD#: 19517

PORTLAND, OR

Past

November 11, 2010 - February 6, 2012

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

BEAVERTON, OR

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

California
(5/23/2018)

IAR

California
(5/23/2018)

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: 6/28/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/17/2010

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: 11/10/2010

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

Erik Pflaum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Pflaum's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Erik Pflaum's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMA SECURITIES LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

LPL FINANCIAL LLC

STANCORP INVESTMENT ADVISERS, INC.

STANCORP EQUITIES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/28/2012

Series 63

Date: 11/17/2010

SIE

Date: 10/1/2018

Series 6

Date: 11/10/2010

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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