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MM

Meredith A. Mccutchen

Some features on this profile are disabled
CRD#: 5989501
MM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Meredith Ann Mccutchen was a registered financial professional .

Meredith is a previously registered financial professional and started their career in finance in 2013. Meredith had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 15, 2016 - April 29, 2019

MOODY SECURITIES, LLC

BD
CRD#: 148771
HOUSTON, TX
Past

January 8, 2015 - March 14, 2016

RETIRING WITH DIGNITY, INC.

RIA
CRD#: 158339
MOBILE, AL
Past

January 2, 2015 - March 2, 2016

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
Mobile, AL
Past

August 7, 2013 - December 31, 2014

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
MOBILE, AL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/18/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/31/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/7/2013
General Securities Representative Examination

Current Firm

MS
MOODY SECURITIES, LLC
MOODY SECURITIES, LLC

CRD#: 148771 / SEC#: , 8-68069

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MOODY NATIONAL SM, LLCSOLE MEMBER
ENGEL, ROBERT WILLIAMFINOP/CFO/PRINCIPAL/TREASURER4804666
MCGINNIS, STEFANIE SADKAPRESIDENT/CCO5462592

Disclosures

Regulatory Event1

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

MOODY SECURITIES, LLC

CRD#: 148771

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