Kathryn E. Albers

MMA SECURITIES

Matthews, NC

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CRD#: 4288573

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Elise Albers's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kathryn Elise Albers'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®

None

Experience

Current

April 3, 2023 - Present

MMA SECURITIES LLC

RIA

CRD#: 44254

Matthews, NC

Current

April 3, 2023 - Present

MMA SECURITIES LLC

Office #1: 1166 Avenue Of The Americas 23rd Floor, New York, NY 10036

RIA

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

CRD#: 6413

MATTHEWS, NC

Past

January 4, 2021 - July 26, 2022

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

November 25, 2015 - January 4, 2021

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

July 29, 2010 - May 2, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

BOSTON, MA

Past

November 7, 2007 - November 7, 2008

MMC SECURITIES LLC

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

CRD#: 35350

WESTWOOD, MA

Past

February 28, 2001 - June 15, 2004

NYLIFE SECURITIES LLC

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".

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

North Carolina
(4/3/2023)

IAR

North Carolina
(4/3/2023)

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 65

Date: 10/27/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/15/2001

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: 2/19/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/27/2001

Investment Company Products/Variable Contracts Representative 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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Firm Stability Insights

Kathryn E. Albers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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

Experience

MMA SECURITIES LLC

MMA SECURITIES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EMPOWER FINANCIAL SERVICES, INC.

MML DISTRIBUTORS, LLC

MML INVESTORS SERVICES, LLC

MMC SECURITIES LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/2022

Series 63

Date: 3/15/2001

SIE

Date: 10/1/2018

Series 7

Date: 2/19/2016

Series 6

Date: 2/27/2001

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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