LW
Lee W. Warner
M HOLDINGS SECURITIES
Timonium, MD 21093
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CRD#: 1008889
LW
Professional summary
Lee William Warner, CFP® is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Timonium, Maryland.
Lee is registered as a RR (Registered Representative) and started their career in finance in 1981. Lee has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Lee William Warner's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
December 20, 2006 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 9690 Deereco Road Suite 650, Timonium, MD 21093RIA
BD
CRD#: 43285
Timonium, MD
Past
March 26, 2004 - March 31, 2026
THE L. WARNER COMPANIES, INC
RIA
CRD#: 108001
TIMONIUM, MD
Past
June 2, 1992 - December 31, 2006
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
TIMONIUM, MD
Past
January 21, 1986 - October 19, 1992
HOME LIFE INSURANCE COMPANY
BD
CRD#: 4184
Past
June 27, 1984 - December 23, 1985
BOARDWALK CAPITAL CORPORATION
BD
CRD#: 10279
Past
March 23, 1983 - December 31, 1998
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
September 25, 1981 - July 16, 1984
CHRIS SECURITIES INC.
BD
CRD#: 4453
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MH
M HOLDINGS SECURITIES, INC.
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
RIA
Registered Investment Advisory firm - SEC (3/14/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/20/2006)
RR
California(12/20/2006)
RR
Colorado(12/20/2006)
RR
Connecticut(11/16/2023)
RR
District of Columbia(12/20/2006)
RR
Florida(12/20/2006)
RR
Georgia(12/20/2006)
RR
Idaho(12/13/2024)
RR
Illinois(1/23/2007)
RR
Kentucky(2/2/2007)
RR
Louisiana(1/24/2012)
RR
Maryland(12/20/2006)
RR
Massachusetts(12/20/2006)
RR
Minnesota(11/14/2008)
RR
New Jersey(12/20/2006)
RR
New Mexico(12/20/2006)
RR
New York(12/20/2006)
RR
North Carolina(12/20/2006)
RR
Ohio(12/20/2006)
RR
Oklahoma(12/20/2006)
RR
Pennsylvania(12/20/2006)
RR
Rhode Island(2/2/2007)
RR
South Carolina(3/20/2009)
RR
Tennessee(1/24/2012)
RR
Texas(4/30/2024)
RR
Virginia(12/20/2006)
RR
Washington(4/21/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MH
M HOLDINGS SECURITIES, INC.
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
RIA
Registered Investment Advisory firm - SEC (3/14/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1125 N.w. Couch Street Suite 900, Portland, OR 97209
Mailing Address
P.o. Box 2207, Portland, OR 97208-2207
Phone number
(888) 520-6784
Established
Oregon since 03/21/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,442
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M FINANCIAL HOLDINGS INCORPORATED | EQUITY OWNER | |
| HANEY-JACKSON, LAURA ELIZABETH | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 4771801 |
| LUDWIG, STEVEN CHARLES | CHIEF COMPLIANCE OFFICER | 2440911 |
| ROGERS, MARIA RENEE | PRINCIPAL FINANCIAL OFFICER | 2442526 |
| SCHOONMAKER, MICHAEL SKI | CHIEF EXECUTIVE OFFICER | 2408456 |
Regulatory assets under management
| Total Number of Accounts | 8,234 |
| AUM (Assets Under Management) | $ 4,078,516,284 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 11/13/2024 | ||
| 08/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
