YG
Yolanda M. Gardner
MMA SECURITIES LLC
Boston, MA 02199
Some features on this profile are disabled
CRD#: 6416060
YG
Professional summary
Yolanda Michelle Gardner, who also goes by Yolanda Michelle Gardner, Yolanda Michelle Gardner - Mukombe, Yolanda Gardner Mukombe, is a registered financial advisor currently at MMA SECURITIES LLC located in Boston, Massachusetts.
Yolanda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Yolanda has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Yolanda Michelle Gardner | Yolanda Michelle Gardner - Mukombe | Yolanda Gardner Mukombe
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. The Registered Representative is an employee of Marsh & McLennan Agency LLC ("MMA"), 1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities for MMA (e.g. support for its insurance services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities LLC activities remain subject to the Firm's supervisory framework. 2. YGM Consulting LLC; investment related;home address;books and speaking,tax preparation;owner;6/24/2020;15 hrs/month;0 hr during trading; provide financial education and coaching on cash management, financial success, budgeting, establishing good money habits and improving financial fitness, business consulting, consulting organizations on economic development, equity and economic empowerment, write and sell books 3. SAS Institute; 100 SAS Campus Dr, Cary NC; Not Investment Related; Software Development; Change Manager; Manage organizational change for various initiatives; 35 hrs/month;4 hr during trading; 09/16/2024
CRS (Client Relationship Summary) - RIA
Click below to view Yolanda Michelle Gardner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yolanda Michelle Gardner'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
November 12, 2024 - Present
MMA SECURITIES LLC
Office #1: 101 Huntington Ave Suite 401, Boston, MA 02199RIA
BD
CRD#: 44254
Boston, MA
Current
November 6, 2024 - Present
MMA SECURITIES LLC
Office #1: 101 Huntington Ave Suite 401, Boston, MA 02199RIA
BD
CRD#: 44254
Boston, MA
Past
September 1, 2023 - September 20, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SCOTTSDALE, AZ
Past
September 1, 2023 - September 20, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 13, 2023 - September 1, 2023
OSAIC SERVICES, INC.
RIA
CRD#: 133763
PHOENIX, AZ
Past
April 12, 2023 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
May 24, 2021 - September 29, 2022
TRIAD ADVISORS LLC
BD
CRD#: 25803
Cary, NC
Past
May 19, 2015 - April 20, 2021
CREDIT UNION INVESTMENT SERVICES
RIA
CRD#: 144871
Greensboro, NC
Past
January 15, 2015 - April 20, 2021
SECU BROKERAGE SERVICES
BD
CRD#: 19899
GREENSBORO, 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.
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
North Carolina(11/8/2024)
IAR
North Carolina(11/12/2024)
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#: 44254Boston, MA 02199TRUST BUT VERIFY
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