KA
Kathryn E. Albers
MMA SECURITIES LLC
Matthews, NC
Some features on this profile are disabled
CRD#: 4288573
KA
Professional summary
Kathryn Elise Albers, who also goes by Katy Albers, Kathryn Elise Shamess, Kathryn Shamess, Katy Shamess, is a registered financial advisor currently at MMA SECURITIES LLC located in Matthews, North Carolina.
Kathryn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kathryn has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katy Albers | Kathryn Elise Shamess | Kathryn Shamess | Katy Shamess
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. Rental Property - 341A Alexander Street, Matthews, NC 28105; not investment-related; Joint Owner; Start date - 03/16/2016; 0 hours per month; 0 hours during trading hours; duties - none as property is managed by husband. 2. Rental Property - 7028 Sapwood Court, Matthews, NC 28104; not investment-related; Joint Owner; Start date - 09/01/2019; 0 hours per month; 0 hours during trading hours; duties - none as property is managed by husband. 3. 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 Kathryn Elise Albers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathryn Elise Albers'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
April 3, 2023 - Present
MMA SECURITIES LLC
RIA
BD
CRD#: 44254
Matthews, NC
Current
April 3, 2023 - Present
MMA SECURITIES LLC
Office #1: 1166 Avenue Of The Americas 23rd Floor, New York, NY 10036RIA
BD
CRD#: 44254
New York, NY
Past
October 28, 2022 - April 3, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
MATTHEWS, NC
Past
August 19, 2022 - April 3, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
MATTHEWS, NC
Past
January 4, 2021 - July 26, 2022
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
November 25, 2015 - January 4, 2021
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
SPRINGFIELD, MA
Past
July 29, 2010 - May 2, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BOSTON, MA
Past
November 7, 2007 - November 7, 2008
MMC SECURITIES LLC
BD
CRD#: 103846
NORWOOD, MA
Past
April 21, 2005 - October 1, 2007
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
RIA
CRD#: 109591
PARSIPPANY, NJ
Past
June 15, 2004 - October 1, 2007
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
WESTWOOD, MA
Past
February 28, 2001 - June 15, 2004
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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
North Carolina(4/3/2023)
IAR
North Carolina(4/3/2023)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
