Full text of M FINANCIAL SECURITIES MARKETING, INC.'s X-17A-5 filed 2023-03-01 (period 2022-12-31). 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, 2022 and 2021 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549<br>ANNUAL REPORTS<br>FORM X-17A-5 | 0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response:<br>12 | |-----------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------| | | | | | | | | | | | SEC FILE NUMBER | | | 8-67206 | | PART Ill | | | | | | 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>01/01/22<br>AND ENDING<br>MM/DD/VY | 12/31/22<br>MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | __<br>NAME OF FIRM:<br>M Financial Securities Marketing, Inc. | _____________<br>_ | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | 0 Broker-dealer<br>□ Security-based swap dealer | □ Major security-based swap participant | | D Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 1125 NW Couch Street, Suite 900<br>(No. and Street) | | | | | | Portland<br>OR | 97209 | | (City)<br>(State)<br>(Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Maria Rogers<br>503-414-7260 | maria.rogers@mfin.com | | (Name)<br>(Area Code - Telephone Number) | (Email Address) | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Baker Tilly US, LLP | | | (Name - if individual, state last, first, and middle name) | | | | | | (Address) 225 South Sixth Street, Suite 2300<br>Minnea polis<br>(City) | (Zip Code) 55402<br>MN<br>(StatEj | | October 22 2003 | 23 | | rte of<br>Reg;stratioo with PCAOBJI• ap~;cable) | (PCAOB Reglstcati~ N"mbec, ;f applicable) I | | FOR OFFICIAL USE ONLY | | | | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See…Read the full text as markdown