RR
Ryan M. Roe
MMA SECURITIES LLC
St. Louis, MO 63017
Some features on this profile are disabled
CRD#: 5437537
RR
Professional summary
Ryan Michael Roe, who also goes by Ryan Roe, is a registered financial advisor currently at MMA SECURITIES LLC located in St. Louis, Missouri.
Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Ryan has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ryan Roe
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.
Rental property landlord. My wife and I moved to another house and are renting our previous house, 7508 E. Diamond St. Scottsdale AZ 85257. We are using a rental management company to manage the property, therefore, it's considered investment related but will require less than one hour per week of my time. Any time devoted to this outside business will be outside of work / trading hours unless there's an unforeseen emergency. Start date 11/1/2018. My duties will be maintaining the rental home as required to keep the home occupied by a tenant.
CRS (Client Relationship Summary) - RIA
Click below to view Ryan Michael Roe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ryan Michael Roe'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
January 23, 2024 - Present
MMA SECURITIES LLC
Office #1: 825 Maryville Centre Drive, Suite 200, St. Louis, MO 63017RIA
BD
CRD#: 44254
St. Louis, MO
Current
August 8, 2022 - Present
MMA SECURITIES LLC
Office #1: 825 Maryville Centre Drive, Suite 200, St. Louis, MO 63017RIA
BD
CRD#: 44254
St. Louis, MO
Past
February 2, 2016 - November 11, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
PHOENIX, AZ
Past
February 2, 2016 - June 23, 2022
MUTUAL OF AMERICA SECURITIES LLC
BD
CRD#: 27878
ST. LOUIS, MO
Past
November 13, 2007 - January 11, 2016
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
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
Arizona(8/8/2022)
RR
Arkansas(8/8/2022)
RR
California(5/9/2025)
RR
Connecticut(5/9/2025)
RR
Delaware(5/9/2025)
RR
Illinois(8/8/2022)
RR
Iowa(8/8/2022)
RR
Missouri(8/8/2022)
IAR
Missouri(1/23/2024)
RR
New York(5/9/2025)
RR
Oregon(1/23/2024)
IAR
Oregon(1/23/2024)
RR
Texas(5/9/2025)
RR
Washington(5/9/2025)
Exams
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#: 44254St. Louis, MO 63017TRUST BUT VERIFY
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