SC
Sara E. Carvalho
MMA SECURITIES LLC
Boston, MA 02199
Some features on this profile are disabled
CRD#: 4042764
SC
Professional summary
Sara Elizabeth Carvalho, who also goes by Sara Elizabeth Medici, is a registered financial advisor currently at MMA SECURITIES LLC located in Boston, Massachusetts.
Sara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Sara has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sara Elizabeth Medici
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.
Starting April 1, 2019, Sara Carvalho has been asked to become a member of the UMass Lowell School/College Advisory Board for the College of Fine Arts, Humanities and Social Sciences. The business is not investment related. Address is: UMass Lowell, One Perkins Street, Lowell, MA 01854. Sara will attend 2 board meetings per year and events related to the college. The number of hours will be approximately 1-2 hours per month. The purpose of the School/College Advisory Board is to support the mission of the university and the work of the school/college. Board members use their experiences and knowledge to help the dean achieve annual and long-term goals. The board provides guidance in strategies, assists in maintaining effective liaison with the university and its external communities, builds engagement support among other alumni and friends, and helps to maintain and enhance the national reputation of the school/college in undergraduate, graduate, and research activities.
CRS (Client Relationship Summary) - RIA
Click below to view Sara Elizabeth Carvalho's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sara Elizabeth Carvalho'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
September 5, 2023 - Present
MMA SECURITIES LLC
Office #1: 101 Huntington Ave Suite 401, Boston, MA 02199RIA
BD
CRD#: 44254
Boston, MA
Current
January 4, 2016 - Present
MMA SECURITIES LLC
Office #1: 101 Huntington Ave Suite 401, Boston, MA 02199RIA
BD
CRD#: 44254
Boston, MA
Past
September 10, 2015 - January 6, 2016
MMC SECURITIES LLC
BD
CRD#: 103846
BOSTON, MA
Past
January 2, 2015 - July 25, 2015
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
ANDOVER, MA
Past
April 15, 2008 - January 2, 2015
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
ANDOVER, MA
Past
November 30, 2000 - March 31, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
May 18, 2000 - October 4, 2000
NEW ENGLAND SECURITIES
BD
CRD#: 615
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(1/4/2016)
RR
Hawaii(6/22/2016)
RR
Maryland(1/4/2016)
RR
Massachusetts(1/6/2016)
IAR
Massachusetts(9/27/2023)
RR
New Hampshire(6/22/2023)
RR
New York(6/22/2023)
RR
Rhode Island(6/22/2023)
RR
Texas(6/22/2023)
IAR
Texas(9/5/2023)
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
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.
Company Information
MMA SECURITIES LLC
CRD#: 44254Boston, MA 02199TRUST BUT VERIFY
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