# EDGAR Filing Document

**Accession Number:** 0001805205
**File Stem:** 0001805205-26-000002
**Filing Date:** 2026-1
**Character Count:** 10668
**Document Hash:** b842a92c4e27e8cf6cc89a5422b0fad5
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001805205-26-000002.hdr.sgml**: 20260211

**ACCESSION NUMBER**: 0001805205-26-000002

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260130

**DATE AS OF CHANGE**: 20260211

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MOMENTUS SECURITIES LLC
- **CENTRAL INDEX KEY:** 0001805205

**ORGANIZATION NAME:**
- **EIN:** 844354884
- **STATE OF INCORPORATION:** TX
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-02718
- **FILM NUMBER:** 26619809

**BUSINESS ADDRESS:**
- **STREET 1:** 1350 BROADWAY
- **STREET 2:** ROOM/SUITE 2320
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10018
- **BUSINESS PHONE:** 646-989-1120

**MAIL ADDRESS:**
- **STREET 1:** 1350 BROADWAY
- **STREET 2:** ROOM/SUITE 2320
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10018

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ALLIANCE SECURITIES LLC
- **DATE OF NAME CHANGE:** 20220301

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** RPS SECURITIES LLC
- **DATE OF NAME CHANGE:** 20200228

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001805205

**Filer CCC:** XXXXXXXX

**Contact Name:** Roxanne

**Contact Phone:** 212-751-4422

**Contact Email:** rknobel@dfppartners.com

**Notification Emails:** sbush@momentussecurities.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** MOMENTUS SECURITIES LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 307780

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 84-4354884

**D. Registrations:**

- **Municipal Advisor:** SEC File No: 867-02718

- **Broker-Dealer:** SEC File No: 008-70499, CRD No: 307780

**E. Principal Office and Place of Business:** 1350 BROADWAY, ROOM/SUITE 2320, NEW YORK, NY, 10018

**Telephone Number:** 646-989-1120

**Mailing Address is Different from Principal Office:** No

**F. Website:** https://momentussecurities.com/

**G. Chief Compliance Officer (CCO):**

**Name:** Sarah NMN Bush

**Address:** 485 Madison Ave, 15th Floor, New York, NY, 10022

**Phone Number:** 212-751-4422

**Email:** sbush@momentussecurities.com

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** TX

**D. Date of Organization:** 01-15-2020

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 6

**B. Municipal Advisory Activities - Employees:** 2

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 2

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 0

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer

**Total Associated Persons:** 1

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                             | Title/Status             | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Alliance Securities Manager, LLC | Managing Member          | 02-01-2022      | E - 75% or more   | Yes               |  |  |
| Jaime NMN Aldama                 | President                | 04-03-2023      | NA - less than 5% | Yes               |  | 5060751      |
| Michael NMN Steinberg            | Chief Compliance Officer | 02-01-2022      | NA - less than 5% | No                |  | 1062776      |
| Andrew David Miller              | FINOP, PFO & POO         | 03-02-2020      | NA - less than 5% | No                |  | 5106774      |

### Schedule B: Indirect Owners

| Owning Entity   | Name                    | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Parent Company  | Capital Impact Partners | Active         | 02-01-2022      | E - 75% or more  | Yes               |  |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                             | Title/Status             | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Alliance Securities Manager, LLC | Managing Member          | 02-01-2022      | E - 75% or more   | Yes               |  |  |
|  | Indirect    | Parent Company  | Capital Impact Partners          | Active                   | 02-01-2022      | E - 75% or more   | Yes               |  |  |
|  | Direct      |  | Jaime NMN Aldama                 | President                | 04-03-2023      | NA - less than 5% | Yes               |  | 5060751      |
| Delete | Direct      |  | Michael NMN Steinberg            | Chief Compliance Officer | 02-01-2022      | NA - less than 5% | No                |  | 1062776      |
|  | Direct      |  | Andrew David Miller              | FINOP, PFO & POO         | 03-02-2020      | NA - less than 5% | No                |  | 5106774      |
| NewAdd | Direct      |  | Sarah NMN Bush                   | Chief Compliance Officer | 01-13-2026      | NA - less than 5% | No                |  | 5841363      |

### Execution Page

**Signature:** Sarah Bush

**Signer Name:** Sarah Bush

**Title:** Chief Compliance Officer

**Date:** 01-30-2026

**CRD Number:** 307780