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Erik Pflaum

MMA Securities LLC

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About Erik Pflaum

Erik Pflaum is a financial advisor with MMA Securities LLC in San Diego, CA. Erik has over 7 years of experience in the financial services industry. Erik is registered with the state of California as an Investment Advisor Representative and a Registered Representative. Erik holds Series 6, 63 and 65 licenses. Erik is also a Certified Financial Planner. Prior to joining MMA Securities LLC, Erik worked at Sagepoint Financial, Inc. and LPL Financial LLC. Erik specializes in providing financial advice to retirement plan participants.

Firm Information

Erik Pflaum 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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Erik Pflaum’s Registration & Firm History

CA

05/23/2018 - Present

MMA Securities LLC (San Diego CA)

CA

06/20/2018 - 07/06/2018

SAGEPOINT FINANCIAL, INC. (SAN DIEGO CA)

CA

10/12/2017 - 06/18/2018

SAGEPOINT FINANCIAL, INC. (SAN DIEGO CA)

OR

01/12/2016 - 09/11/2017

LPL FINANCIAL LLC (PORTLAND OR)

OR

05/21/2012 - 12/21/2015

STANCORP EQUITIES, INC. (PORTLAND OR)

OR

11/11/2010 - 02/06/2012

FIRST INVESTORS CORPORATION (BEAVERTON OR)

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Licenses & Designations

IA

Issued 06/28/2012

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/17/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/10/2010

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Erik Pflaum.
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