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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

James Shannon Morris

Advisor at MMA SECURITIES LLC

McLean, VA | Boston, MA

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Search this name across graphsid dfx:ria:705b4155-8e84-c965-3a3f-6f5387dcb7e8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 14, 2005 to Sep 15, 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: Jan 13, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 13, 2005
First registration: Jan 14, 2005
Dual registered: yes, broker-dealer
Other names: JAMES S MORRIS|JIM MORRIS|JAMES S MORRIS|JAMES S MORRIS
IAPD individual key: 4874474

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	Dec 20, 2023	n/a	yes	Boston, MA\|McLean, VA	Current employment
UNITED BROKERAGE SERVICES INC	Bd affiliated wealth	Jul 6, 2022	Dec 15, 2023	no	VIENNA, VA	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Aug 9, 2010	Jul 22, 2013	no	CHEVY CHASE, MD	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 14, 2005	Jul 29, 2010	no	BALTIMORE, MD\|NORTH BETHESDA, MD\|BALTIMORE, MD	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
UNITED BROKERAGE SERVICES INC	MMA SECURITIES LLC	Dec 15, 2023	Dec 20, 2023	5	Firm change	Other
PARK AVENUE SECURITIES LLC	UNITED BROKERAGE SERVICES INC	Jul 22, 2013	Jul 6, 2022	3,271	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PARK AVENUE SECURITIES LLC	Jul 29, 2010	Aug 9, 2010	11	Firm change	Other

Relationships

Registered with (4)

→ MMA SECURITIES LLCRegistered adviserregistration: current employment
Dec 20, 2023 to presentfactForm ADV
→ UNITED BROKERAGE SERVICES INCRegistered adviserregistration: previous registration
Jul 6, 2022 to Dec 15, 2023factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Aug 9, 2010 to Jul 22, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 14, 2005 to Jul 29, 2010factForm ADV

Dated events

Occurred
Dec 15, 2023
Advisor changed firm
James Shannon Morris left United Brokerage Services Inc for Mma Securities Llc (registered 2023-12-20)
Form ADVobserved 6 days ago