John Thompson is a registered investment advisor at Mma Securities LLC, based in New York, NY, with 35 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 8,394 clients.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
MMA Securities offers two services through a subadviser, Empower Advisory Group (EAG):
- In-Plan Advice (Online Advice Service): This service provides online guidance and investment advice, but you implement the recommendations yourself. There is no fee charged directly to plan participants for using this service.
- MMA MyPath (Managed Account Service): This service manages your retirement account for you. Participants in this service pay an annual asset-based fee. The fee covers costs associated with providing the service, including expenses payable to EAG and other service providers. MMA Securities does not retain any portion of this fee.
Location
1166 Avenue of the Americas, New York, NY, 10036
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
John is an investment advisor representative since 2003, dedicating about a quarter of his time to this role. He is also a Senior Vice President at Marsh McLennan Agency, selling employee benefits, life, disability income, and long-term care insurance, which takes up significantly more than full-time hours. Additionally, he serves as a trustee, spending minimal time on this activity.
Employment History
Current Registrations
Mma Securities LLC
Mma Asset Management LLC
Mma Securities LLCBroker
Previous Registrations
Jsl Securities, INC.Broker
Fsc Securities Corporation
Fsc Securities Corporation
Fsc Securities CorporationBroker
AXA Advisors, LLCBroker
The Equitable Life Assurance Society of the United StatesBroker
State Registrations16 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.