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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)40 years in industry

Jeffrey W Stephens

Advisor at MMA SECURITIES LLC

San Diego, CA | Walnut Creek, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Nov 23, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MMA SECURITIES LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 12, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 3
Designations: Chartered Financial Consultant
Exams: S63|S65
First exam: Mar 12, 1986
First registration: Nov 23, 1998
Dual registered: yes, broker-dealer
Other names: JEFF STEPHENS|JEFFREY WILLIAM STEPHENS
IAPD individual key: 1177270

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MMA SECURITIES LLC	No RAUM reported	Aug 1, 2018	n/a	yes	San Diego, CA\|Walnut Creek, CA	Current employment
SDM ADVISORS, LLC	Former SEC adviser	Aug 22, 2014	Sep 28, 2018	no	SAN FRANCISCO, CA\|MENLO PARK, CA	Previous registration
VALMARK ADVISERS, INC.	Bd affiliated wealth	Jul 31, 2014	Aug 1, 2018	no	SAN FRANCISCO, CA	Previous registration
FINANCIAL TELESIS, INC.	Former SEC adviser	Mar 2, 2011	Jul 31, 2014	no	SAN RAFAEL, CA\|MORAGA, CA	Previous registration
ARETE WEALTH ADVISORS, LLC	Bd affiliated wealth	Mar 23, 2009	Mar 3, 2011	no	CHICAGO, IL	Previous registration
PRIVATE WEALTH ADVISORS, INC.	n/a	Jan 13, 2009	Mar 19, 2009	no	SONOMA, CA	Previous registration
PRIVATE CONSULTING GROUP, INC.	n/a	Jul 31, 2006	Dec 31, 2008	no	SAN FRANCISCO, CA\|SONOMA, CA	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Nov 23, 1998	Aug 7, 2006	no	SONOMA, CA\|SONOMA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SDM ADVISORS, LLC	MMA SECURITIES LLC	Sep 28, 2018	Aug 1, 2018	-58	Firm change after gap	Other
VALMARK ADVISERS, INC.	SDM ADVISORS, LLC	Aug 1, 2018	Aug 22, 2014	-1,440	Firm change after gap	Other
FINANCIAL TELESIS, INC.	VALMARK ADVISERS, INC.	Jul 31, 2014	Jul 31, 2014	0	Firm change	Other
ARETE WEALTH ADVISORS, LLC	FINANCIAL TELESIS, INC.	Mar 3, 2011	Mar 2, 2011	-1	Firm change	Other
PRIVATE WEALTH ADVISORS, INC.	ARETE WEALTH ADVISORS, LLC	Mar 19, 2009	Mar 23, 2009	4	Firm change	Other
PRIVATE CONSULTING GROUP, INC.	PRIVATE WEALTH ADVISORS, INC.	Dec 31, 2008	Jan 13, 2009	13	Firm change	Other
NFP ADVISOR SERVICES, LLC	PRIVATE CONSULTING GROUP, INC.	Aug 7, 2006	Jul 31, 2006	-7	Firm change	Other

Relationships

Registered with (8)

→ MMA SECURITIES LLCRegistered adviserregistration: current employment
Aug 1, 2018 to presentfactForm ADV
→ SDM ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 22, 2014 to Sep 28, 2018factForm ADV
→ VALMARK ADVISERS, INC.Registered adviserregistration: previous registration
Jul 31, 2014 to Aug 1, 2018factForm ADV
→ FINANCIAL TELESIS, INC.Registered adviserregistration: previous registration
Mar 2, 2011 to Jul 31, 2014factForm ADV
→ ARETE WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 23, 2009 to Mar 3, 2011factForm ADV
→ PRIVATE WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Jan 13, 2009 to Mar 19, 2009factForm ADV
→ PRIVATE CONSULTING GROUP, INC.Registered adviserregistration: previous registration
Jul 31, 2006 to Dec 31, 2008factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Nov 23, 1998 to Aug 7, 2006factForm ADV

Dated events

No dated event names this entity yet.