Seth Fineman is a registered investment advisor at Mma Securities LLC, based in Minneapolis, MN, with 26 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 8,394 clients.
Compensation
Commission-BasedFixed/Hourly
Firm Size
162 advisors
Number of Clients
8,394 clients
Average Client Portfolio
Not specified
Fee Structure
Investment management only (planning not offered)
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.
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Location
6160 Golden Hills Drive, Minneapolis, MN, 55416
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Regulatory History
Clean regulatory record
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 →Employment History
Current Registrations
Mma Securities LLCBroker
February 2021 - Present · 5 yrs 3 mos
Mma Securities LLC
February 2021 - Present · 5 yrs 3 mos
Previous Registrations
Principal Securities, INC.
June 2019 - January 2021 · 1 yr 7 mos
Principal Securities, INC.Broker
May 2019 - January 2021 · 1 yr 8 mos
Transamerica Retirement Advisors, LLC
March 2016 - July 2018 · 2 yrs 4 mos
Transamerica Investors Securities CorporationBroker
March 2016 - July 2018 · 2 yrs 4 mos
ICMA Retirement CORP
October 2014 - January 2016 · 1 yr 3 mos
Icma-Rc Services, LLCBroker
August 2014 - January 2016 · 1 yr 5 mos
Strategic Advisers, INC.
June 2004 - June 2009 · 5 yrs
Fidelity Brokerage Services LLCBroker
June 2004 - September 2013 · 9 yrs 3 mos
E*trade Securities LLCBroker
April 2002 - June 2003 · 1 yr 2 mos
TD Waterhouse Investor Services, INC.Broker
January 1996 - March 2001 · 5 yrs 2 mos
Multi-Bank Securities, INC.Broker
July 1995 - December 1995 · 5 mos
State Registrations3 states
MNNEWI
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.