WS
Wade S. Schmidt
MMA SECURITIES LLC
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 5491958
WS
Professional summary
Wade S Schmidt, who also goes by Wade Scott Schmidt, Wade Schmidt, is a registered financial advisor currently at MMA SECURITIES LLC located in Charlotte, North Carolina.
Wade is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Wade has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wade Scott Schmidt | Wade Schmidt
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 Registered Representative is an employee of Marsh & McLennan Agency LLC ("MMA"), 1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities for MMA (e.g. support for its insurance services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities LLC activities remain subject to the Firm's supervisory framework.
CRS (Client Relationship Summary) - RIA
Click below to view Wade S Schmidt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wade S Schmidt'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
July 3, 2025 - Present
MMA SECURITIES LLC
Office #1: 5605 Carnegie Blvd. Suite 300, Charlotte, NC 28210RIA
BD
CRD#: 44254
Charlotte, NC
Current
July 3, 2025 - Present
MMA SECURITIES LLC
Office #1: 5605 Carnegie Blvd. Suite 300, Charlotte, NC 28210RIA
BD
CRD#: 44254
Charlotte, NC
Past
February 20, 2025 - April 25, 2025
VOYA RETIREMENT ADVISORS, LLC
RIA
CRD#: 3989
Matthews, NC
Past
January 16, 2025 - April 25, 2025
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
June 9, 2022 - February 8, 2025
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
Matthews, NC
Past
June 9, 2022 - January 16, 2025
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
July 1, 2020 - May 26, 2022
INDEPENDENT ADVISOR ALLIANCE, LLC
RIA
CRD#: 168267
Charlotte, NC
Past
February 25, 2019 - May 25, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
CHARLOTTE, NC
Past
August 29, 2018 - February 5, 2019
EDWARD JONES
RIA
CRD#: 250
MATTHEWS, NC
Past
August 6, 2018 - February 5, 2019
EDWARD JONES
BD
CRD#: 250
MATTHEWS, NC
Past
September 5, 2008 - February 13, 2018
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
COLORADO SPRINGS, CO
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
North Carolina(7/3/2025)
IAR
North Carolina(7/3/2025)
Exams
State Security Law Exam
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.
