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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

Seth Adam Fineman

Advisor at MMA SECURITIES LLC

Minneapolis, MN

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Search this name across graphsid dfx:ria:a6a4789f-4d14-bbcb-b9d2-d8947a4e8eac

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 10, 2004 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: Oct 20, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Oct 20, 1995
First registration: Jun 10, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 2644727

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	Feb 23, 2021	n/a	yes	Minneapolis, MN	Current employment
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jun 4, 2019	Jan 21, 2021	no	MINNETONKA, MN	Previous registration
TRANSAMERICA RETIREMENT ADVISORS, LLC	Bd affiliated wealth	Mar 8, 2016	Jul 2, 2018	no	St Louis Park, MN	Previous registration
MISSIONSQUARE RETIREMENT	Bd affiliated wealth	Oct 14, 2014	Jan 26, 2016	no	ST LOUIS PARK, MN	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jun 10, 2004	Jun 26, 2009	no	EDINA, MN	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
PRINCIPAL SECURITIES, INC.	MMA SECURITIES LLC	Jan 21, 2021	Feb 23, 2021	33	Firm change	Other
TRANSAMERICA RETIREMENT ADVISORS, LLC	PRINCIPAL SECURITIES, INC.	Jul 2, 2018	Jun 4, 2019	337	Firm change	RIA to ibd
MISSIONSQUARE RETIREMENT	TRANSAMERICA RETIREMENT ADVISORS, LLC	Jan 26, 2016	Mar 8, 2016	42	Firm change	Other
STRATEGIC ADVISERS LLC	MISSIONSQUARE RETIREMENT	Jun 26, 2009	Oct 14, 2014	1,936	Firm change after gap	Other

Relationships

Registered with (5)

→ MMA SECURITIES LLCRegistered adviserregistration: current employment
Feb 23, 2021 to presentfactForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Jun 4, 2019 to Jan 21, 2021factForm ADV
→ TRANSAMERICA RETIREMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 8, 2016 to Jul 2, 2018factForm ADV
→ MISSIONSQUARE RETIREMENTRegistered adviserregistration: previous registration
Oct 14, 2014 to Jan 26, 2016factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jun 10, 2004 to Jun 26, 2009factForm ADV

Dated events

No dated event names this entity yet.