Full text of M FINANCIAL SECURITIES MARKETING, INC.'s X-17A-5 filed 2022-02-28 (period 2021-12-31). 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 of M Financial Holdings Incorporated) Financial Statements and Supplementary Information Pursuant to SEC Rule 17a-5 December 31, 2021 and 2020 (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: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** SEC FILE NUMBER 8-67206 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING<br>AND ENDING<br>01/01/21<br>12/31/21<br>MM/DD/VY<br>MM/DD/VY | | | | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------|--------|----------|------------|-------|------------------|--| | A. REGISTRANT IDENTIFICATION | | | | | | | | | __<br>_____________<br>NAME OF FIRM:<br>M Financial Securities Marketing, Inc.<br>_ | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>□ Security-based swap dealer<br>□ Major security-based swap participant<br>~ Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | 5<br>112 NW Couch Street, Suite 900<br>(No. and Street) | | | | | | | | | Portland | OR | | | | 97209 | | | | (City) | (State) | | | (Zip Code) | | | | | (Name) | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>Maria Rogers<br>503-414-7260<br>maria.rogers@mfin.com<br>(Area Code -Telephone Number)<br>(Email Address) | | | | | | | | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Baker Tilly US, LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | (Address) | One Penn Plaza, Suite 300 | (City) | New York | (State) | NY | (Zip Code) 10119 | | | October 22 2003<br>23 | | | | | | | | | I<br>rte<br>of Reg;…Read the full text as markdown