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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)16 years in industry

VICTORIA ANN MERCADO

Advisor at MMA SECURITIES LLC

Schaumburg, IL | Minneapolis, MN

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Search this name across graphsid dfx:ria:cb867461-c1c0-51b0-ae09-1e580fc0da0b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 26, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MMA SECURITIES LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 26, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63
First exam: Sep 16, 2016
First registration: Feb 26, 2010
Dual registered: yes, broker-dealer
Other names: VICTORIA ANN OFENLOCH
IAPD individual key: 5314896

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MMA SECURITIES LLC	No RAUM reported	Sep 23, 2022	n/a	yes	Schaumburg, IL\|Schaumburg, IL\|Minneapolis, MN	Current employment
KESTRA ADVISORY SERVICES, LLC	Bd affiliated wealth	Aug 11, 2016	Jul 1, 2020	no	CHICAGO, IL\|AUSTIN, TX	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	May 19, 2016	Sep 22, 2016	no	CHICAGO, IL\|Schaumburg, IL	Previous registration
GENFI LLC	State registered	Nov 26, 2013	Dec 31, 2015	no	CHICAGO, IL	Previous registration
MEDIQUS ASSET ADVISORS, INC.	Independent wealth	Feb 26, 2010	Oct 1, 2012	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
KESTRA ADVISORY SERVICES, LLC	MMA SECURITIES LLC	Jul 1, 2020	Sep 23, 2022	814	Firm change after gap	Other
NFP ADVISOR SERVICES, LLC	KESTRA ADVISORY SERVICES, LLC	Sep 22, 2016	Aug 11, 2016	-42	Bulk transfer	Other
GENFI LLC	NFP ADVISOR SERVICES, LLC	Dec 31, 2015	May 19, 2016	140	Firm change	Other
MEDIQUS ASSET ADVISORS, INC.	GENFI LLC	Oct 1, 2012	Nov 26, 2013	421	Firm change after gap	Other

Relationships

Registered with (5)

→ MMA SECURITIES LLCRegistered adviserregistration: current employment
Sep 23, 2022 to presentfactForm ADV
→ KESTRA ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Aug 11, 2016 to Jul 1, 2020factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
May 19, 2016 to Sep 22, 2016factForm ADV
→ GENFI LLCRegistered adviserregistration: previous registration
Nov 26, 2013 to Dec 31, 2015factForm ADV
→ MEDIQUS ASSET ADVISORS, INC.Registered adviserregistration: previous registration
Feb 26, 2010 to Oct 1, 2012factForm ADV

Dated events

No dated event names this entity yet.