Colby Lee Carpenter

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Robert Hrnicek

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

View profile

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

RICHARDSON, TX · CRD#

View profile

David Alvarez

EDWARD JONES

GRAPEVINE, TX · CRD#

View profile

Brian Burnam

NYLIFE SECURITIES LLC

FRISCO, TX · CRD#

View profile

Contact Information

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

Similar Advisors

Robert Hrnicek

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

View profile

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

RICHARDSON, TX · CRD#

View profile

David Alvarez

EDWARD JONES

GRAPEVINE, TX · CRD#

View profile

Brian Burnam

NYLIFE SECURITIES LLC

FRISCO, TX · CRD#

View profile

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.

Similar Advisors

Robert Hrnicek

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

View profile

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

RICHARDSON, TX · CRD#

View profile

David Alvarez

EDWARD JONES

GRAPEVINE, TX · CRD#

View profile

Brian Burnam

NYLIFE SECURITIES LLC

FRISCO, TX · CRD#

View profile

Years of Experience

8 years registered in the securities industry

Current & Past Employments

Current

MMA SECURITIES LLCCurrent·CRD# 44254

RIA

BD

Three Galleria Tower 13155 Noel Rd Suite 1400, Dallas, TX 75240

November 26, 2024 - Present

MMA SECURITIES LLCCurrent·CRD# 44254

RIA

BD

Three Galleria Tower 13155 Noel Rd Suite 1400, Dallas, TX 75240

November 26, 2024 - Present

Past

CREATIVE PLANNINGPast·CRD# 105348

RIA

Dallas, TX

December 19, 2021 - November 7, 2024

LOCKTON INVESTMENT ADVISORS, LLCPast·CRD# 144133

RIA

Dallas, TX

November 18, 2021 - December 31, 2021

EDWARD JONESPast·CRD# 250

RIA

Fairway, KS

February 7, 2019 - November 8, 2021

EDWARD JONESPast·CRD# 250

BD

Fairway, KS

January 16, 2019 - November 8, 2021

Similar Advisors

Robert Hrnicek

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

View profile

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

RICHARDSON, TX · CRD#

View profile

David Alvarez

EDWARD JONES

GRAPEVINE, TX · CRD#

View profile

Brian Burnam

NYLIFE SECURITIES LLC

FRISCO, TX · CRD#

View profile

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

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

Part 2 Brochures

MMAS PERSONALIZED ADVISORY SERVICES FIRM BROCHURE 03.2025 (11/6/2026)

MMAS RETIREMENT PLAN SERVICES FIRM BROCHURE 03.2025 (11/6/2026)

MMAS PROSPER WISE FIRM BROCHURE 03.2025 (11/6/2026)

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

Similar Advisors

Robert Hrnicek

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

View profile

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

RICHARDSON, TX · CRD#

View profile

David Alvarez

EDWARD JONES

GRAPEVINE, TX · CRD#

View profile

Brian Burnam

NYLIFE SECURITIES LLC

FRISCO, TX · CRD#

View profile

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.

Similar Advisors

Robert Hrnicek

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

View profile

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

RICHARDSON, TX · CRD#

View profile

David Alvarez

EDWARD JONES

GRAPEVINE, TX · CRD#

View profile

Brian Burnam

NYLIFE SECURITIES LLC

FRISCO, TX · CRD#

View profile

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

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).

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.

IAR

Texas
(11/26/2024)

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.