VM
Victoria A. Mercado
MMA SECURITIES LLC
Schaumburg, IL 60173
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CRD#: 5314896
VM
Professional summary
Victoria Ann Mercado, CFP®, who also goes by VIctoria Ann Ofenloch, is a registered financial advisor currently at MMA SECURITIES LLC located in Schaumburg, Illinois.
Victoria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Victoria has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Victoria Ann Ofenloch
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.
CRS (Client Relationship Summary) - RIA
Click below to view Victoria Ann Mercado's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Victoria Ann Mercado'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®
Experience
Current
September 23, 2022 - Present
MMA SECURITIES LLC
Office #1: 20 N. Martingale Road, Ste. 100, Schaumburg, IL 60173Office #2: 20 N. Martingale Rd; Ste. 100, Schaumburg, IL 60173RIA
BD
CRD#: 44254
Schaumburg, IL
Current
April 1, 2020 - Present
MMA SECURITIES LLC
Office #1: 20 N. Martingale Road, Ste. 100, Schaumburg, IL 60173RIA
BD
CRD#: 44254
Schaumburg, IL
Past
September 8, 2016 - April 14, 2020
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
CHICAGO, IL
Past
August 11, 2016 - July 1, 2020
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
CHICAGO, IL
Past
May 19, 2016 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
CHICAGO, IL
Past
November 26, 2013 - December 31, 2015
GENFI LLC
RIA
CRD#: 156464
CHICAGO, IL
Past
February 26, 2010 - October 1, 2012
MEDIQUS ASSET ADVISORS, INC.
RIA
CRD#: 107694
CHICAGO, IL
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
Illinois(4/1/2020)
IAR
Illinois(9/23/2022)
Exams
State Security Law 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MMA SECURITIES LLC
CRD#: 44254Schaumburg, IL 60173TRUST BUT VERIFY
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