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MN

Michael B. Noel

MMA SECURITIES
Greensboro, NC 27408
Some features on this profile are disabled
CRD#: 5614413
MN

Professional summary

Michael B Noel, who also goes by Michael Bernard Noel, Michael Noel, is a registered financial professional currently at MMA SECURITIES LLC located in Greensboro, North Carolina.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2009. Michael has worked at 9 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Bernard Noel | Michael Noel

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael B Noel's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 11, 2026 - Present

MMA SECURITIES LLC

Office #1: 701 Green Valley Rd Suite 308, Greensboro, NC 27408
RIA
BD
CRD#: 44254
Greensboro, NC
Past

April 4, 2022 - March 4, 2026

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

February 7, 2019 - April 4, 2022

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

March 14, 2014 - January 14, 2019

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA
CRD#: 142373
COLUMBUS, OH
Past

March 7, 2014 - January 14, 2019

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

December 20, 2012 - June 28, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WINSTON SALEM, NC
Past

December 20, 2012 - June 28, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WINSTON SALEM, NC
Past

September 30, 2011 - December 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WINSTON-SALEM, NC
Past

September 30, 2011 - December 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WINSTON-SALEM, NC
Past

July 28, 2010 - September 6, 2011

MORGAN STANLEY

RIA
CRD#: 149777
WINSTON-SALEM, NC
Past

July 28, 2010 - September 6, 2011

MORGAN STANLEY

BD
CRD#: 149777
WINSTON-SALEM, NC
Past

March 3, 2009 - September 15, 2009

EDWARD JONES

RIA
CRD#: 250
WINSTON SALEM, NC
Past

February 10, 2009 - September 15, 2009

EDWARD JONES

BD
CRD#: 250
WINSTON SALEM, NC

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.

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
(3/11/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/20/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/16/2010
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 2/9/2009
General Securities Representative Examination
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

MMAS PERSONALIZED ADVISORY SERVICES FIRM BROCHURE 03.2025 (3/27/2025)
MMAS RETIREMENT PLAN SERVICES FIRM BROCHURE 03.2025 (3/27/2025)
MMAS PROSPER WISE FIRM BROCHURE 03.2025 (3/27/2025)

Direct owners and executive officers

NamePositionCRD#
MARSH INSURANCE & INVESTMENTS LLCOWNER
BARTKUS, BRIAN EDWARDSENIOR SUPERVISORY PRINCIPAL2827119
BLACKMORE, KIMBERLY LYNNFINOP, CFO, PFO, POO, AND DIRECTOR2219307
REID, CRAIG JPRESIDENT, DIRECTOR6280558
WEINSTOCK, JUDITH ANNCHIEF COMPLIANCE OFFICER, CHIEF COUNSEL AND DIRECTOR8096565

Disclosures

Regulatory Event3

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#: 44254Greensboro, NC 27408

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