Stephen Perry Sample

LPL FINANCIAL LLC

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STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

11 years registered in the securities industry

Current & Past Employments

Current

MMA SECURITIES LLCCurrent·CRD# 44254

RIA

BD

101 Huntington Ave Suite 401, Boston, MA 02199

June 9, 2026 - Present

MMA SECURITIES LLCCurrent·CRD# 44254

RIA

BD

101 Huntington Ave Suite 401, Boston, MA 02199

May 5, 2026 - Present

Past

JOHN HANCOCK DISTRIBUTORS LLCPast·CRD# 5249

BD

Boston, MA

September 14, 2015 - April 6, 2026

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Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

MS

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)

BD

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).

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

211

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

Documents

Part 2 Brochures

MMAS PERSONALIZED ADVISORY SERVICES FIRM BROCHURE 03.2025 (6/30/2026)

MMAS RETIREMENT PLAN SERVICES FIRM BROCHURE 03.2025 (6/30/2026)

MMAS PROSPER WISE FIRM BROCHURE 03.2025 (6/30/2026)

Direct owners and executive officers

Name	Position	CRD#
MARSH AGENCY 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

3

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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. OBA Name: Rental Property, Investment-related? No, OBA Address: 2534 Fleet Street, Baltimore, MD 21224, OBA Nature: Property ownership, Position, Title, or Relationship with the OBA: Owner/Landlord, OBA Start Date: 4/1/2024, Approximate number of hours/month devoted to the OBA: 1, Number of hours devoted to the OBA during securities trading hours: 0, Brief description duties related to the OBA: Owns 2534 Fleet St, Baltimore, MD 21224 and rents the property out to tenants.

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