AdFi
JC

John Charteris Thompson III

Investment Adviser Representative at MMA ASSET MANAGEMENT LLC

Alpharetta, GACRD #2063118Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
36 yrs
States Registered
16 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 16 states
AlabamaFloridaGeorgiaIllinoisKentuckyLouisianaMichiganMississippiNew MexicoNew YorkNorth CarolinaPennsylvaniaRhode IslandSouth CarolinaTennesseeTexas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 8/11/1999
Series 63
Uniform Securities Agent State Law Examination
Passed 8/2/1990
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 7/22/1999
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 7/28/1990
Series 24
General Securities Principal Examination
Passed 5/22/2001

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

MMA Asset Management LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MMA SECURITIES LLCCurrent
7/6/2022Alpharetta, GA
MMA ASSET MANAGEMENT LLCCurrent
7/5/2022Conshohocken, PA
FSC SECURITIES CORPORATION
8/24/20077/7/2022Johns Creek, GA
FSC SECURITIES CORPORATION
1/21/200312/31/2005Johns Creek, GA

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at MMA ASSET MANAGEMENT LLC

Showing 12 of 18 in the directory

View MMA ASSET MANAGEMENT LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John Charteris Thompson III has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

John Charteris Thompson III - Financial Advisor in Alpharetta, GA | AdvisorFinder