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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

SAMUEL G HAINES

Advisor at MMA ASSET MANAGEMENT LLC

Conshohocken, PA | CONSHOHOCKEN, PA | Boston, MA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Apr 19, 2004 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 ASSET MANAGEMENT LLC
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 6, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 2
Registered states: 1
Exams: S66
First exam: Apr 6, 2004
First registration: Apr 19, 2004
Dual registered: yes, broker-dealer
Other names: SAMUEL G HAINES JR.|SAMUEL G HAINES|SAMUEL G HAINES|SAM HAINES
IAPD individual key: 4739968

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 ASSET MANAGEMENT LLC	Mixed wealth	Jan 16, 2020	n/a	yes	CONSHOHOCKEN, PA	Current employment
MMA SECURITIES LLC	No RAUM reported	May 28, 2019	n/a	yes	Boston, MA\|Conshohocken, PA	Current employment
MMA ASSET MANAGEMENT LLC	Mixed wealth	Oct 27, 2016	Dec 31, 2019	no	CONSHOHOCKEN, PA	Previous registration
THE CENTURION GROUP, LLC	Former SEC adviser	Jan 3, 2011	Dec 31, 2019	no	PLYMOUTH MEETING, PA	Previous registration
NRP ADVISORS, INC.	n/a	Oct 13, 2010	Dec 1, 2010	no	PLYMOUTH MEETING, PA\|BRYAN, OH	Previous registration
WALNUT STREET SECURITIES, INC.	Former SEC adviser	Jul 7, 2009	Oct 29, 2009	no	RED BANK, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 8, 2004	Mar 13, 2009	no	PENNINGTON, NJ\|PENNINGTON, NJ\|NEW YORK, NY\|PENNINGTON, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 19, 2004	May 10, 2004	no	PRINCETON, NJ	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
MMA ASSET MANAGEMENT LLC	MMA SECURITIES LLC	Dec 31, 2019	May 28, 2019	-217	Channel change	Other
THE CENTURION GROUP, LLC	MMA ASSET MANAGEMENT LLC	Dec 31, 2019	Oct 27, 2016	-1,160	Firm change after gap	Other
NRP ADVISORS, INC.	THE CENTURION GROUP, LLC	Dec 1, 2010	Jan 3, 2011	33	Firm change	Other
WALNUT STREET SECURITIES, INC.	NRP ADVISORS, INC.	Oct 29, 2009	Oct 13, 2010	349	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WALNUT STREET SECURITIES, INC.	Mar 13, 2009	Jul 7, 2009	116	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
155426:44254:PA:2019-12-31	Dec 31, 2019	May 28, 2019	CONSHOHOCKEN, PA	Firm change after gap
155430:155426:PA:2019-12-31	Dec 31, 2019	Oct 27, 2016	PLYMOUTH MEETING, PA	Firm change after gap

Relationships

Registered with (6)

→ MMA ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Oct 27, 2016 to Dec 31, 2019factForm ADV
→ MMA SECURITIES LLCRegistered adviserregistration: current employment
May 28, 2019 to presentfactForm ADV
→ THE CENTURION GROUP, LLCRegistered adviserregistration: previous registration
Jan 3, 2011 to Dec 31, 2019factForm ADV
→ NRP ADVISORS, INC.Registered adviserregistration: previous registration
Oct 13, 2010 to Dec 1, 2010factForm ADV
→ WALNUT STREET SECURITIES, INC.Registered adviserregistration: previous registration
Jul 7, 2009 to Oct 29, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 8, 2004 to Mar 13, 2009factForm ADV

Dated events

No dated event names this entity yet.