Melissa L. Lacey

MMA SECURITIES LLC

San Diego, CA 92122

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CRD#: 2540512

Professional summary

Melissa Lee Lacey, AIF®, who also goes by Melissa Lee Lacey, Melissa Lee Sennatt, Melissa Lee Webb, is a registered financial advisor currently at MMA SECURITIES LLC located in San Diego, California.

Melissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Melissa has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Melissa Lee Lacey | Melissa Lee Sennatt | Melissa Lee Webb

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.

1. Name of business: Melissa Lee Lacey; Business is not investment related; Address: Carlsbad, CA 92009; Nature of Business: Self employed, providing administrative and bookkeeping support to small telecom companies; Start date 2020; Approximately 10 hours a month on weekends ; Zero hours devoted during securities trading hours; Duties: Consulting/Admin 2.Rental Property; Investment related; Carlsbad, CA 92011; Rental Property; Co-Owner (Melissa & John Lacey Owners); Start DateNov 15, 2021; devotes 1-2 hours per month not during securities trading hours; Co-Owner of a rental property

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melissa Lee Lacey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Melissa Lee Lacey's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 27, 2021 - Present

MMA SECURITIES LLC

Office #1: 9171 Towne Centre Drive Suite 100, San Diego, CA 92122

RIA

CRD#: 44254

San Diego, CA

Current

September 27, 2021 - Present

MMA SECURITIES LLC

Office #1: 9171 Towne Centre Drive Suite 100, San Diego, CA 92122

RIA

CRD#: 44254

San Diego, CA

Past

December 12, 2017 - August 20, 2021

LOCKTON INVESTMENT ADVISORS, LLC

RIA

CRD#: 144133

Los Angeles, CA

Past

December 11, 2017 - August 20, 2021

LOCKTON INVESTMENT SECURITIES, LLC

CRD#: 137476

KANSAS CITY, MO

Past

May 4, 2015 - November 30, 2017

PENTEGRA DISTRIBUTORS INC.

CRD#: 26249

WHITE PLAINS, NY

Past

February 17, 2015 - November 30, 2017

PENTEGRA INVESTORS, INC.

RIA

CRD#: 111503

CARLSBAD, CA

Past

February 14, 2011 - March 5, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

January 25, 2011 - March 5, 2013

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

March 16, 2004 - May 9, 2005

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

May 14, 2003 - January 2, 2004

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

ORANGE, CA

Past

June 17, 1998 - August 30, 2002

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

May 21, 1996 - April 29, 1998

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

January 28, 1995 - January 4, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 26, 1994 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

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".

MMA SECURITIES LLC

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(9/27/2021)

IAR

California
(9/27/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/11/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/13/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/24/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/19/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MMA SECURITIES LLC

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MMAS PERSONALIZED ADVISORY SERVICES FIRM BROCHURE 03.2025 (3/27/2025)

MMAS RETIREMENT PLAN SERVICES FIRM BROCHURE 03.2025 (3/27/2025)

MMAS PROSPER WISE FIRM BROCHURE 03.2025 (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
MARSH INSURANCE & INVESTMENTS LLC	OWNER
BARTKUS, BRIAN EDWARD	SENIOR SUPERVISORY PRINCIPAL	2827119
BLACKMORE, KIMBERLY LYNN	FINOP, CFO, PFO, POO, AND DIRECTOR	2219307
REID, CRAIG J	PRESIDENT, DIRECTOR	6280558
WEINSTOCK, JUDITH ANN	CHIEF COMPLIANCE OFFICER, CHIEF COUNSEL AND DIRECTOR	8096565

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Melissa L. Lacey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melissa Lee Lacey's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Melissa Lee Lacey's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMA SECURITIES LLC

LOCKTON INVESTMENT ADVISORS, LLC

LOCKTON INVESTMENT SECURITIES, LLC

PENTEGRA DISTRIBUTORS INC.

PENTEGRA INVESTORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FS, INC.

CROWN CAPITAL SECURITIES, L.P.

AMERICAN GENERAL SECURITIES INCORPORATED

PACIFIC SELECT DISTRIBUTORS, LLC

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/11/2011

Series 63

Date: 10/13/1994

SIE

Date: 10/1/2018

Series 7

Date: 1/24/2011

Series 24

Date: 8/19/2003

FINRA

Current Firm

MMA SECURITIES LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MMA SECURITIES LLC

TRUST BUT VERIFY

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