Ann Margaret Donnelly
MMA SECURITIES LLC | Senior Retirement Plan Advisor
New York, NY 10017
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CRD#: 2466132
Professional summary
Ann Margaret Donnelly, who also goes by Ann Margaret Donnelly, Annmargaret Donnelly, Ann Margaret Margaret Williams, Ann Margaret Williams, Annmargaret Williams, is a registered financial advisor currently at MMA SECURITIES LLC located in New York, New York.
Ann Margaret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Ann Margaret has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Biography
Ann Margaret helps plan sponsor clients develop and administer retirement plans. With a focus on plan design and investment monitoring, she provides clients with ideas to help improve the retirement readiness of their plan participants.
Prior to joining Mariner Wealth Advisors, she was the director of retirement plan services at Shelton Capital Management. Prior to that, she was the owner and operator of The Summit Conference & Event Center in Aurora, Colorado, where she managed a 16,000-square-foot venue. Additionally, she has held various roles in the financial services industry at JP Morgan, UBS and RBC Capital Markets.
Ann Margaret has a master’s degree in accounting and finance from The London School of Economics and Political Science and a bachelor’s degree in business administration from Villanova University.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ann Margaret Donnelly | Annmargaret Donnelly | Ann Margaret Margaret Williams | Ann Margaret Williams | Annmargaret Williams
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The Registered Representative is an employee of Marsh & McLennan Agency LLC ("MMA"), 1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities for MMA (e.g. support for its insurance services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities LLC activities remain subject to the Firm's supervisory framework.
CRS (Client Relationship Summary) - RIA
Click below to view Ann Margaret Donnelly's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ann Margaret Donnelly's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 6, 2024 - Present
MMA SECURITIES LLC
Office #1: 350 Madison Ave 7th Floor, New York, NY 10017RIA
BD
CRD#: 44254
New York, NY
Current
April 24, 2024 - Present
MMA SECURITIES LLC
Office #1: 350 Madison Ave 7th Floor, New York, NY 10017RIA
BD
CRD#: 44254
New York, NY
Past
November 9, 2021 - January 26, 2024
MARINER WEALTH
RIA
CRD#: 140195
Highlands Ranch, CO
Past
August 31, 2018 - November 1, 2021
RFS PARTNERS
BD
CRD#: 18119
Denver, CO
Past
August 20, 2018 - November 1, 2021
SHELTON CAPITAL MANAGEMENT
RIA
CRD#: 104720
DENVER, CO
Past
October 29, 2004 - October 14, 2005
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
June 12, 1998 - November 2, 2004
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
November 1, 1996 - June 4, 1998
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
April 16, 1996 - November 1, 1996
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MS
MMA SECURITIES LLC
COMPASS FINANCIAL PARTNERS | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE
CRD#: 44254 / SEC#: 801-100377, 8-50591
RIA
Registered Investment Advisory firm - SEC (7/7/2015 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/23/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/2/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(5/6/2024)
IAR
Connecticut(5/6/2024)
IAR
New York(5/17/2024)
RR
New York(6/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MMA SECURITIES LLC
COMPASS FINANCIAL PARTNERS | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE
CRD#: 44254 / SEC#: 801-100377, 8-50591
RIA
Registered Investment Advisory firm - SEC (7/7/2015 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/23/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/2/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1166 Avenue Of The Americas, New York, NY 10036
Mailing Address
1166 Avenue Of The Americas, New York, NY 10036
Phone number
(917) 625-4069
Established
New Jersey since 02/03/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
179
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MMA SECURITIES LLC
Senior Retirement Plan AdvisorCRD#: 44254New York, NY 10017TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
