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James Shannon Morris

MMA Securities LLC

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About James Shannon Morris

James Morris is a financial advisor with MMA Securities LLC. He has been in the financial services industry since 2004 and holds the Series 7 and Series 66 licenses. James is a registered representative in Delaware, District of Columbia, Maryland, North Carolina, Pennsylvania, and Virginia. James has worked for several firms in the past, including United Brokerage Services, Inc., MML Distributors, LLC, and Park Avenue Securities LLC.

Firm Information

James Morris 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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James Morris’s Registration & Firm History

MA

10/30/2024 - Present

MMA Securities LLC (Boston MA)

VA

03/05/2022 - 12/15/2023

UNITED BROKERAGE SERVICES, INC (VIENNA VA)

MA

03/11/2016 - 12/31/2020

MML DISTRIBUTORS, LLC (SPRINGFIELD MA)

NY

03/31/2015 - 11/05/2015

PARK AVENUE SECURITIES LLC (NEW YORK NY)

NY

07/22/2013 - 03/31/2015

GUARDIAN INVESTOR SERVICES LLC (NEW YORK NY)

MD

08/06/2010 - 07/22/2013

PARK AVENUE SECURITIES LLC (BETHESDA MD)

MD

12/16/2004 - 07/29/2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROCKVILLE MD)

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Licenses & Designations

BOTH

Issued 01/13/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/15/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Shannon Morris.
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