AK
Anna E. Kraemer
MMA SECURITIES LLC
Minneapolis, MN 55416
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CRD#: 5988743
AK
Professional summary
Anna Elizabeth Kraemer, AIF®, who also goes by Anna E Kaye, Anna Elizabeth Kaye, is a registered financial advisor currently at MMA SECURITIES LLC located in Minneapolis, Minnesota.
Anna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Anna has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anna E Kaye | Anna Elizabeth Kaye
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.
1. 02/28/2017 - HAYS INVESTMENT ADVISORS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 50%/ MINNEAPOLIS, MN
(2) 04/27/2017- Global Retirement Partners-investment related- At reported business location(s)-Registered Investment Advisor Hybrid-Licensed ADMIN- start 02/17/2017- Hours per Month 80-I provide administrative support to Global Retirement Partners, an independent investment advisor firm. I started this business activity in 2/20/17. I expect to spend 80 per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
(3) 04/27/2017- Hays Financial Group -investment related-At reported business location(s)-Registered Investment Advisor DBA-Licensed Admin-start 02/01/2017- Hours per month 80/ Hours during trading 4- Time spent percent 50%
CRS (Client Relationship Summary) - RIA
Click below to view Anna Elizabeth Kraemer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anna Elizabeth Kraemer'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®
Experience
Current
December 20, 2023 - Present
MMA SECURITIES LLC
Office #1: 6160 Golden Hills Drive, Minneapolis, MN 55416RIA
BD
CRD#: 44254
Minneapolis, MN
Current
December 20, 2023 - Present
MMA SECURITIES LLC
Office #1: 6160 Golden Hills Drive, Minneapolis, MN 55416RIA
BD
CRD#: 44254
Minneapolis, MN
Past
October 18, 2023 - November 13, 2024
HAYS FINANCIAL GROUP, LLC
RIA
CRD#: 306877
MINNEAPOLIS, MN
Past
March 6, 2017 - October 26, 2021
GLOBAL RETIREMENT PARTNERS LLC
RIA
CRD#: 172011
Minneapolis, MN
Past
February 28, 2017 - November 3, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
MINNEAPOLIS, MN
Past
June 27, 2014 - February 13, 2017
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MINNEAPOLIS, MN
Past
November 5, 2013 - February 13, 2017
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
MINNEAPOLIS, MN
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
Minnesota(12/20/2023)
IAR
Minnesota(12/20/2023)
Exams
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.
