DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

KATHLEEN ALAINA KELLY

Advisor at MMA ASSET MANAGEMENT LLC

CONSHOHOCKEN, PA | Greensboro, NC | Boston, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d7f2e907-7f97-a3cb-771b-63bbbd5f7fc7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 8, 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 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: Aug 2, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 2
Registered states: 12
Exams: S65|S63
First exam: Aug 2, 1995
First registration: Feb 8, 2005
Dual registered: yes, broker-dealer
Other names: KATHY KELLY
IAPD individual key: 2642776

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	Apr 3, 2023	n/a	yes	CONSHOHOCKEN, PA\|Greensboro, NC	Current employment
MMA SECURITIES LLC	No RAUM reported	Apr 3, 2023	n/a	yes	Greensboro, NC\|Greensboro, NC\|Boston, MA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 13, 2005	Apr 3, 2023	no	GREENSBORO, NC	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Feb 8, 2005	May 16, 2005	no	GREENSBORO, NC	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
LPL FINANCIAL LLC	MMA SECURITIES LLC	Apr 3, 2023	Apr 3, 2023	0	Firm change	Other
PRINCIPAL SECURITIES, INC.	LPL FINANCIAL LLC	May 16, 2005	May 13, 2005	-3	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
6413:44254:NC:2023-04-03	Apr 3, 2023	Apr 3, 2023	GREENSBORO, NC	Firm change

Relationships

Registered with (4)

→ MMA ASSET MANAGEMENT LLCRegistered adviserregistration: current employment
Apr 3, 2023 to presentfactForm ADV
→ MMA SECURITIES LLCRegistered adviserregistration: current employment
Apr 3, 2023 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 13, 2005 to Apr 3, 2023factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Feb 8, 2005 to May 16, 2005factForm ADV

Dated events

Occurred
Apr 3, 2023
Advisor changed firm
Kathleen Alaina Kelly left Lpl Financial Llc for Mma Securities Llc (registered 2023-04-03)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d7f2e907-7f97-a3cb-771b-63bbbd5f7fc7
First observed: Feb 8, 2005
Last observed: Sep 15, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

KATHLEEN ALAINA KELLY

Advisor at MMA ASSET MANAGEMENT LLC

CONSHOHOCKEN, PA | Greensboro, NC | Boston, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d7f2e907-7f97-a3cb-771b-63bbbd5f7fc7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:47 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

MMA ASSET MANAGEMENT LLC

Mixed wealth

Apr 3, 2023

n/a

yes

CONSHOHOCKEN, PA|Greensboro, NC

Current employment

MMA SECURITIES LLC

No RAUM reported

Apr 3, 2023

n/a

yes

Greensboro, NC|Greensboro, NC|Boston, MA

Current employment

LPL FINANCIAL LLC

Bd affiliated wealth

May 13, 2005

Apr 3, 2023

GREENSBORO, NC

Previous registration

PRINCIPAL SECURITIES, INC.

Bd affiliated wealth

Feb 8, 2005

May 16, 2005

GREENSBORO, NC

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

LPL FINANCIAL LLC

MMA SECURITIES LLC

Apr 3, 2023

Firm change

Other

PRINCIPAL SECURITIES, INC.

LPL FINANCIAL LLC

May 16, 2005

May 13, 2005

-3

Firm change

Other

Team

Left

Joined

From

Kind

6413:44254:NC:2023-04-03

Apr 3, 2023

GREENSBORO, NC

Firm change