MS
Melissa M. Spowal
MMA SECURITIES LLC
St. Louis, MO 63017
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CRD#: 3152419
MS
Professional summary
Melissa Marie Spowal, AIF®, who also goes by Molly Spowal, Melissa Marie Terrill, Molly Terrill, is a registered financial advisor currently at MMA SECURITIES LLC located in St. Louis, Missouri.
Melissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Melissa has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Molly Spowal | Melissa Marie Terrill | Molly Terrill
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. 01/11/2016 - M&R Investment I - INV REL - Real Estate Rental - START 10/01/2015 - 1% TIME SPENT - Own a duplex and rent it out. 2. The Registered Representative is an employee of MMA Agency (1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities (up to approximately 25% of her time) for MMA Agency (e.g. support for its health & benefits services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities activities remain subject to the Firm's supervisory framework. 3. M&R Investment II; investment-related; Nottingham Ave. St. Louis, MO 63109; Nature-Investment property owned with spouse; Position - owner; Start Date-09/30/15; 0 hours spent a month; Duties- investor only; does not commit any time or resources to the management of the building. 4. Pangje Foundation; not investment-related; Boulder, CO; Nature - Nonprofit dedicated to snow leopard conservation; Position - Board Member; start date - 1.1.2022; less than 15 minutes a month not during business hours; duties - Act as a sounding board and advisor to non-profit strategies 5. M&R III; investment-related; Rental property; owner; start date 1.4.2024; zero hours devoted per month; owns property with spouse and spouse manages it.
CRS (Client Relationship Summary) - RIA
Click below to view Melissa Marie Spowal's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Melissa Marie Spowal'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®
Experience
Current
April 1, 2019 - Present
MMA SECURITIES LLC
Office #1: 825 Maryville Centre Drive, Suite 200, St. Louis, MO 63017Office #2: 825 Maryville Centre Drive, Suite 200, St. Louis, MO 63017Office #3: 8144 Walnut Hill Lane Floor 15, Dallas, TX 75231RIA
BD
CRD#: 44254
St. Louis, MO
Current
April 1, 2019 - Present
MMA SECURITIES LLC
Office #1: 825 Maryville Centre Drive, Suite 200, St. Louis, MO 63017Office #2: 8144 Walnut Hill Lane Floor 15, Dallas, TX 75231RIA
BD
CRD#: 44254
St. Louis, MO
Past
November 30, 2010 - April 23, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
ST. LOUIS, MO
Past
November 30, 2010 - April 23, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
ST. LOUIS, MO
Past
April 17, 2009 - November 30, 2010
NRP ADVISORS, INC.
RIA
CRD#: 141430
ST. LOUIS, MO
Past
April 17, 2009 - November 30, 2010
NRP FINANCIAL, INC.
BD
CRD#: 103717
ST. LOUIS, MO
Past
July 17, 2006 - April 24, 2009
OSAIC FS, INC.
RIA
CRD#: 3870
CHESTERFIELD, MO
Past
July 17, 2006 - April 24, 2009
OSAIC FS, INC.
BD
CRD#: 3870
CHESTERFIELD, MO
Past
September 20, 2005 - July 25, 2006
WINDWARD SECURITIES CORPORATION
RIA
CRD#: 127716
CHESTERFIELD, MO
Past
July 6, 2005 - July 25, 2006
WINDWARD SECURITIES CORPORATION
BD
CRD#: 127716
CHESTERFIELD, MO
Past
November 20, 2002 - July 7, 2005
ONB INVESTMENT SERVICES, INC.
BD
CRD#: 31583
EVANSVILLE, IN
Past
November 29, 2000 - November 18, 2002
COST CONTAINMENT SERVICES, INC.
BD
CRD#: 22938
ST. LOUIS, MO
Past
January 19, 1999 - November 20, 2000
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Arizona(3/2/2020)
RR
California(4/1/2019)
RR
Colorado(4/1/2019)
RR
Florida(4/1/2019)
RR
Georgia(4/1/2019)
RR
Illinois(4/1/2019)
IAR
Illinois(8/20/2025)
RR
Indiana(3/2/2020)
RR
Kansas(3/2/2020)
RR
Kentucky(4/1/2019)
RR
Michigan(4/1/2019)
RR
Minnesota(4/1/2019)
RR
Missouri(4/1/2019)
IAR
Missouri(4/1/2019)
RR
Montana(4/1/2019)
RR
New Hampshire(4/1/2019)
RR
New York(3/2/2020)
RR
Ohio(3/2/2020)
RR
Pennsylvania(3/2/2020)
RR
Texas(4/1/2019)
RR
Virginia(3/2/2020)
RR
Wisconsin(3/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
CRD#: 44254St. Louis, MO 63017TRUST BUT VERIFY
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