LS
Lori A. Stevenson
MMA SECURITIES LLC
York, ME
Some features on this profile are disabled
CRD#: 4907948
LS
Professional summary
Lori Ann Stevenson, who also goes by Lori Ann Bacon, Lori Ann Gould, is a registered financial advisor currently at MMA SECURITIES LLC located in York, Maine.
Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Lori has worked at 4 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lori Ann Bacon | Lori Ann Gould
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. 8/7/2007 - Compass Financial Partners, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 4/14/2021 - MMA Agency - Investment Related - 203 Whiting Lane Georgetown, SC 29440 - Outside/W-2 Employment - Started 01/01/2021 - 175 Hours Per Month During Securities Trading - Employee of MMA Agency and delegated to MMA Securities as IARs; MMA Securities is an SEC registered investment adviser and a registered broker dealer. Individuals will be paid by MMA Agency pursuant to their employment agreements. All fees and commissions from regulated activities the individuals perform will be paid first to LPL and then to the individuals' agent for transmission to MMA Securities to defray costs and expenses of the MMA Securities operation, including compensation expense. Individuals will also make referrals and provide communications to clients regarding MMA ProsperWiseSM and the educational aspects of the service.
CRS (Client Relationship Summary) - RIA
Click below to view Lori Ann Stevenson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lori Ann Stevenson'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
York, ME
Current
April 3, 2023 - Present
MMA SECURITIES LLC
Office #1: 101 Huntington Ave Suite 401, Boston, MA 02199RIA
BD
CRD#: 44254
Boston, MA
Past
February 7, 2008 - April 3, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
GREENSBORO, NC
Past
October 23, 2007 - April 3, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
GREENSBORO, NC
Past
August 15, 2005 - July 26, 2006
WINDWARD SECURITIES CORPORATION
BD
CRD#: 127716
CONCORD, NH
Past
April 19, 2005 - February 15, 2007
OSAIC FS, INC.
BD
CRD#: 3870
CONCORD, NH
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
Maine(1/30/2025)
IAR
Maine(1/30/2025)
RR
North Carolina(4/3/2023)
IAR
North Carolina(4/3/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 4/3/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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.
