MH
Moira M. Hagy
MMA SECURITIES LLC
Schaumburg, IL 60173
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CRD#: 5584550
MH
Professional summary
Moira Margaret Hagy, who also goes by Moira Margaret Duffy, is a registered financial advisor currently at MMA SECURITIES LLC located in Schaumburg, Illinois.
Moira is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Moira has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Moira Margaret Duffy
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 MMA Agency (1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities (up to approximately 1% of her time) for MMA Agency (e.g. support for its health & benefits services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities activities remain subject to the Firm's supervisory framework.
CRS (Client Relationship Summary) - RIA
Click below to view Moira Margaret Hagy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Moira Margaret Hagy'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 1, 2020 - 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
April 18, 2016 - July 1, 2020
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
CHICAGO, IL
Past
September 30, 2014 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
Schaumburg, IL
Past
September 30, 2014 - April 14, 2020
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Schaumburg, IL
Past
March 9, 2012 - July 31, 2014
USI ADVISORS
RIA
CRD#: 108113
CHICAGO, IL
Past
March 9, 2012 - July 31, 2014
USI SECURITIES, INC.
BD
CRD#: 43793
CHICAGO, IL
Past
February 17, 2009 - December 16, 2011
STANCORP INVESTMENT ADVISERS, INC.
RIA
CRD#: 110228
SCHAUMBURG, IL
Past
September 18, 2008 - December 16, 2011
STANCORP EQUITIES, INC.
BD
CRD#: 19517
SCHAUMBURG, 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(4/1/2020)
Exams
State Security Law Exam
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
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#: 44254Schaumburg, IL 60173TRUST BUT VERIFY
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