KW
Karen K. Wilhelms
MMA SECURITIES LLC
Saint Charles, MO
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CRD#: 6320861
KW
Professional summary
Karen Kirchner Wilhelms, CFP®, who also goes by Karen Elizabeth Kirchner, Karen Elizabeth Wilhelms, is a registered financial advisor currently at MMA SECURITIES LLC located in Saint Charles, Missouri.
Karen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Karen has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karen Elizabeth Kirchner | Karen Elizabeth Wilhelms
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) CHAMPION PRECAST, INC; 2441 US 61, Troy, MO 63379; Position: Board Member & Secretary; Concrete Manufacturer and family-owned enterprise; Not Investment Related; Number of hours per month: 1; Number of hours during securities trading hours: 0; Start Date: 08/01/2014; Duties limited to attending board meetings quarterly and taking minutes of such meetings. (2) GKO Properties, LLC; Missouri-based land ownership and rental business; Position: Member; Not Investment-Related; Start Date: 08-2020; Zero hours spent during trading hours; Zero hours spent per month.
CRS (Client Relationship Summary) - RIA
Click below to view Karen Kirchner Wilhelms'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
August 22, 2023 - Present
MMA SECURITIES LLC
RIA
BD
CRD#: 44254
Saint Charles, MO
Past
August 29, 2014 - January 27, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
O FALLON, MO
Past
August 6, 2014 - January 27, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
O FALLON, MO
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.Highlighted states indicate IAR registrations
IAR
Missouri(8/22/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
