SM
Stefanie S. Mcginnis
MOODY SECURITIES
Houston, TX 77024
Some features on this profile are disabled
CRD#: 5462592
SM
Professional summary
Stefanie Sadka Mcginnis, who also goes by Stefanie Suzanne Sadka, is a registered financial professional currently at MOODY SECURITIES, LLC located in Houston, Texas.
Stefanie is registered as a RR (Registered Representative) and started their career in finance in 2007. Stefanie has worked at 2 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stefanie Suzanne Sadka
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) - BD
Click below to view Stefanie Sadka Mcginnis'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
June 2, 2011 - Present
MOODY SECURITIES, LLC
Office #1: 9655 Katy Freeway Suite 600, Houston, TX 77024BD
CRD#: 148771
Houston, TX
Past
January 8, 2009 - December 22, 2010
MOODY SECURITIES, LLC
BD
CRD#: 148771
HOUSTON, TX
Past
December 18, 2007 - October 31, 2008
D.H. HILL SECURITIES, LLLP
BD
CRD#: 41528
KINGWOOD, TX
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(7/30/2019)
RR
Alaska(7/30/2019)
RR
Arizona(7/30/2019)
RR
Arkansas(7/30/2019)
RR
California(7/30/2019)
RR
Colorado(7/30/2019)
RR
Connecticut(7/30/2019)
RR
Delaware(7/30/2019)
RR
District of Columbia(7/30/2019)
RR
Florida(7/30/2019)
RR
Georgia(7/30/2019)
RR
Hawaii(7/30/2019)
RR
Idaho(7/30/2019)
RR
Illinois(7/30/2019)
RR
Indiana(7/30/2019)
RR
Iowa(7/30/2019)
RR
Kansas(7/30/2019)
RR
Kentucky(7/30/2019)
RR
Louisiana(7/30/2019)
RR
Maine(7/30/2019)
RR
Maryland(7/30/2019)
RR
Massachusetts(7/30/2019)
RR
Michigan(7/30/2019)
RR
Minnesota(7/30/2019)
RR
Mississippi(7/30/2019)
RR
Missouri(7/30/2019)
RR
Montana(7/30/2019)
RR
Nebraska(7/30/2019)
RR
Nevada(7/30/2019)
RR
New Hampshire(7/30/2019)
RR
New Jersey(7/30/2019)
RR
New Mexico(7/30/2019)
RR
New York(7/30/2019)
RR
North Carolina(7/30/2019)
RR
North Dakota(7/30/2019)
RR
Ohio(7/31/2019)
RR
Oklahoma(7/30/2019)
RR
Oregon(7/30/2019)
RR
Pennsylvania(7/30/2019)
RR
Puerto Rico(7/30/2019)
RR
Rhode Island(7/30/2019)
RR
South Carolina(7/30/2019)
RR
South Dakota(7/30/2019)
RR
Tennessee(11/2/2016)
RR
Texas(6/2/2011)
RR
Utah(7/30/2019)
RR
Vermont(7/30/2019)
RR
Virgin Islands(7/30/2019)
RR
Virginia(7/30/2019)
RR
Washington(7/30/2019)
RR
West Virginia(7/30/2019)
RR
Wisconsin(7/30/2019)
RR
Wyoming(7/30/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MOODY SECURITIES, LLC
MOODY SECURITIES, LLC
CRD#: 148771 / SEC#: , 8-68069
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
9655 Katy Freeway Suite 600, Houston, TX 77024
Mailing Address
9655 Katy Freeway Suite 600, Houston, TX 77024
Phone number
(713) 977-7500
Established
Delaware since 09/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
