SO
Sheray G. Oliver
MMA SECURITIES LLC
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 3180147
SO
Professional summary
Sheray Ginine Oliver is a registered financial advisor currently at MMA SECURITIES LLC located in Charlotte, North Carolina.
Sheray is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Sheray has worked at 5 firms and has passed the Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.Ms. Oliver is the owner of RetireEDU. RetireEDU builds and maintains partnerships with providers in financial services, retirement & benefit communications, group insurance and enrollment. With RetireEDU, Ms. Oliver provides, for compensation, education services focused on helping employees understand their employer benefit options as contracted by unaffiliated companies. This activity is separate from any role with MMA Securities, and she does not provide such services through RetireEDU to any clients of the Marsh McClennan Agency or MMA Securities.
CRS (Client Relationship Summary) - RIA
Click below to view Sheray Ginine Oliver'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
January 17, 2024 - Present
MMA SECURITIES LLC
Office #1: 5605 Carnegie Blvd. Suite 300, Charlotte, NC 28210RIA
BD
CRD#: 44254
Charlotte, NC
Past
November 21, 2016 - February 6, 2017
NYLIFE SECURITIES LLC
BD
CRD#: 5167
CHARLOTTE, NC
Past
May 30, 2013 - April 28, 2016
NEWPORT GROUP SECURITIES, INC.
RIA
CRD#: 29722
CHARLOTTE, NC
Past
March 5, 2013 - June 5, 2013
BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.
RIA
CRD#: 106156
GREENVILLE, SC
Past
March 29, 1999 - May 6, 2002
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
PHILADELPHIA, PA
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.Highlighted states indicate IAR registrations
IAR
North Carolina(1/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
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.
