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Colby Carpenter

MMA Securities LLC

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About Colby Carpenter

Colby Carpenter is a registered investment advisor representative with MMA Securities LLC. Colby has been in the industry for over five years and holds the Series 7, Series 66, and SIE licenses. Colby has experience working with both individuals and businesses to develop and implement investment strategies. Colby is also a registered investment advisor representative in Texas. Colby has worked with a variety of clients, including individuals, businesses, and retirement plan participants. Colby has a strong understanding of the financial markets and is committed to providing his clients with personalized advice. Colby believes in building long-term relationships with his clients and is dedicated to helping them achieve their financial goals.

Firm Information

Colby Carpenter is currently registered with MMA Securities LLC. MMA Securities LLC is a Limited Liability Company formed in February 1998. The firm, headquartered in New York, NY, provides advisory services to retirement plan participants, including pension consulting, educational seminars, and selection of other advisors. With a focus on retirement services, MMA Securities LLC serves a wide range of clients, including pension and profit-sharing plans, state or municipal government entities, and plan participants. They are registered with the SEC and hold registrations in all 50 states.
MMA Securities LLC

1166 AVENUE OF THE AMERICAS

NEW YORK, NY 10036

Not reported

Assets Under Management

6,149

Total Clients

169

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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advisory services to retirement plan participants

Advisory services to retirement plan participants

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Based on assets under advisement or per capita

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Colby Carpenter’s Registration & Firm History

TX

11/26/2024 - Present

MMA Securities LLC (Dallas TX)

KS

01/16/2019 - 11/08/2021

EDWARD JONES (FAIRWAY KS)

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Licenses & Designations

BOTH

Issued 02/06/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/31/2024

Series 7TO - General Securities Representative Examination

BC

Issued 12/17/2018

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Colby Carpenter.
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