Full text of M FINANCIAL SECURITIES MARKETING, INC.'s X-17A-5 filed 2021-03-02 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **M FINANCIAL SECURITIES MARKETING, INC.** (A Wholly Owned Subsidiary ofM Financial Holdings Incorporated) Financial Statements and Supplementary Information Pursuant to SEC Rule l 7a-5 December 31 , 2020 and 2019 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .. . . .. 12.00 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PARTIII** | SEC FILE NUMBER | |-----------------| | 8-67206 | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | -----------<br>01/01/20 | AND ENDING | -----------<br>12/31/20 | | |------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------|--| | | MMIDDIYY | | MMIDDIYY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF BROKER-DEALER: M Financial Securities Marketing, Inc. | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | FIRM I.D. NO. | | | | | 1125 NW Couch Street, Suite 900 | | | | | | | (No. and Street) | | | | | Portland | OR | 97209 | | | | (City) | (State)<br>(Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Maria Rogers 503-232-6960 | | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Baker Tilly US, LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | One Penn Plaza, Suite 3000 | New York | NY | 10119 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | IV I<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as…Read the full text as markdown