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William Thomas Diana

MMA Securities LLC

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About William Thomas Diana

William Thomas Diana is a licensed securities professional with over 30 years of experience in the financial services industry. William is currently a Registered Representative with MMA Securities LLC, a full-service investment firm, and has been with the firm since January 2000. Previously, William worked for Tower Square Securities, Inc. and Carillon Investments, Inc. William holds the Series 6, Series 63, and SIE licenses. William's areas of expertise include advisory services to retirement plan participants and pension consulting.

Firm Information

William Diana 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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William Diana’s Registration & Firm History

NJ

01/04/2000 - Present

MMA Securities LLC (Saddlebrook NJ)

CA

08/04/1997 - 12/31/1999

TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)

OH

03/17/1988 - 08/04/1997

CARILLON INVESTMENTS, INC. (CINCINNATI OH)

NA

05/28/1985 - 03/26/1988

NATHAN & LEWIS SECURITIES, INC.

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Licenses & Designations

BC

Issued 09/06/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/24/1985

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for William Thomas Diana. Review regulatory record here.
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