M HOLDINGS SECURITIES, INC. of PORTLAND, OR is an SEC-registered investment adviser (CRD 43285). Regulatory assets under management: $3.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations.
Showing 25 of 56 people.
| Name | Role | Location |
|---|---|---|
| Maria Renee Rogers | PRINCIPAL FINANCIAL OFFICER | — |
| Michael Ski Schoonmaker | CHIEF EXECUTIVE OFFICER | — |
| Steven Charles Ludwig | CHIEF COMPLIANCE OFFICER | — |
| Laura Elizabeth Haney-Jackson | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | — |
| KRAMER ROGER JOHN | DIRECTOR | — |
| YOUHN STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER - RIA/BD | — |
| SCHUTT DAVID WALTER | FINANCIAL PRINCIPAL ,SECRETARY AND TREASURER,FINANCIAL PRINCIPAL; SECRETARY; SECRETARY AND TREASURER (+2 more) | — |
| KUKAR KEVIN BRUCE | TREASURER | — |
| O'CONNOR RANDALL MARK | CEO; CEO, DIRECTOR; CHAIRMAN OF THE BOARD & DIRECTOR (+4 more) | — |
| BYRNE DANIEL FRANCIS | DIRECTOR | — |
| JONSKE FRED HENRY | CHAIR | — |
| MULLIN PETER WILLIAM | SHAREHOLDER; SHAREHOLDER/DIRECTOR | — |
| THOMPSON WESTLEY VANDER | DIRECTOR | — |
| HARRINGTON DEBORAH LEE | MSRB; MSRB PRINCIPAL | — |
| EHINGER KENNETH RAY | PRESIDENT/CEO; PRESIDENT/CEO/DIRECTOR | — |
| KITTREDGE DAVID MICHAEL | DIRECTOR; PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| MORRISON CONNIE KATHLEEN | DIRECTOR | — |
| HILLIKER JAMES RICHARD | OPERATIONS DIRECTOR, CROP/SROP, FINOP; VICE PRESIDENT COMPLIANCE -CHIEF COMPLIANCE OFFICER - RIA/BD; VICE PRESIDENT COMPLIANCE -CHIEF COMPLIANCE OFFICER - RIA/BD, CROP/SROP (+8 more) | — |
| DAY FRANK EDMUND | CHIEF COMPLIANCE OFFICER RIA; CHIEF COMPLIANCE OFFICER RIA, ROPFP; CHIEF COMPLIANCE OFFICER RIA, ROSFP (+3 more) | — |
| DONAHE HEIDI PEDERSON | PRESIDENT | — |
| FLEISHER CARRIE LEE | DIRECTOR OF OPERATIONS CROP/SROP; DIRECTOR OF OPERATIONS, ROP; DIRECTOR OF OPERATIONS, ROP, CROP (+9 more) | — |
| MILLER LAURA EILEEN | VICE PRESIDENT, MEMBER FIRM SERVICES; VICE PRESIDENT, MEMBER FIRM SERVICES, FINANCIAL PRINCIPAL | — |
| JACOBSEN BRYAN K | CHIEF COMPLIANCE OFFICER | — |
| DOUGHERTY CASEY WILLIAM | CHIEF COMPLIANCE OFFICER | — |
| MCCLUNG PAUL COHN | MSRB PRINCIPAL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-11-25 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") FOUND THAT M HOLDINGS SECURITIES, INC. ("M HOLDINGS") FAILED TO (1) ADOPT WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PROTECT CUSTOMER RECORDS AND INFORMATION, IN VIOLATION OF RULE 30(A) OF REGULATION S-P (17 C.F.R. ? 248.30(A)); AND (2) DEVE… | Final | $325K |
| 2020-01-02 | regulatory | ALLEGATIONS THAT RESPONDENT MADE AN UNSUITABLE LIFE INSURANCE SALE TO MINNESOTA CONSUMER AND PROVIDED INACCURATE INFORMATION ABOUT THE POLICY'S FUNDING TO THE ISSUING INSURANCE CARRIER. | Final | $4K |
| 2018-07-09 | regulatory | ON JULY 9, 2018, WITHOUT ADMITTING OR DENYING THE FINDINGS, OUR BROKER DEALER CONSENTED TO SANCTIONS EQUAL TO $135,000 AND TO THE ENTRY OF FINDINGS FROM DECEMBER 2013 TO JUNE 2017, THAT SPECIFIED IT DID NOT ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDUR… | Final | $135K |
| 2018-06-11 | regulatory | ON MARCH 11, 2019, THE SECURITIES AND EXCHANGE COMMISSION (SEC) PUBLISHED IA RELEASE NO. 5193, AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE AND DESIST PROCEEDINGS, PURSUANT TO SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940 (ADVISERS ACT), AGAINST M HOLDINGS SECURITIES, INC. (RESP… | Final | — |