FQ
Francis X. Queally
M HOLDINGS SECURITIES
Sconset, MA
Some features on this profile are disabled
CRD#: 1040983
FQ
Professional summary
Francis Xavier Queally (JR), who also goes by (jr) Francis Xavier Queally, Frank Queally, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Sconset, Massachusetts.
Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Francis has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
(jr) Francis Xavier Queally | Frank Queally
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.
1) VARIOUS INSURANCE CONTRACTS 2) QUEALLY GROUP, INC. PRESIDENT. SINCE 1995. NOT INVESTMENT-RELATED. 70 HOURS PER MONTH, 40 DURING TRADING HOURS. 3) FRANCIS X QUEALLY, JR., HEALTH INSURANCE REFERRALS; 1985; NOT INVEST RELATED; 20 HOURS/MONTH, 20 HOURS/MONTH DURING BUSINESS HOURS; COMMISSIONS; REFERRALS OR REFERRAL FEES 4) Bristow Mews Association Inc; 33 Old Stamford Rd New Canaan, CT 06840; Homeowners Association; Not Investment Related; Executive; Manage business of homes, including landscaping and snow plow issues; 01/01/2022; 2 hours per month; 2 hours per month during trading hours. 5) Bristow Mews Association Inc; 33 Old Stamford Rd New Canaan, CT 06840; Homeowners Association; Not Investment Related; Treasurer; Scheduling and bill payment; 06/01/2022; 2 hours per month; 2 hours per month during trading hours. 6) Deferral Direct; 28 Thorndal Circle, Darien, CT 06820; Third Party Admin System; Not Investment Related; Owner; 01/01/2005; 0 hours per month; 0 hours per month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Francis Xavier Queally (JR)'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Francis Xavier Queally (JR)'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®
NoneExperience
Current
August 28, 2018 - Present
M HOLDINGS SECURITIES, INC.
Office #2: 700 Canal Street 1st Floor, Ste 146, Stamford, CT 06902RIA
BD
CRD#: 43285
Sconset, MA
Current
June 21, 2001 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 700 Canal Street 1st Floor, Ste 146, Stamford, CT 06902RIA
BD
CRD#: 43285
Stamford, CT
Past
October 31, 2016 - August 2, 2017
SPEARHEAD CAPITAL ADVISORS, LLC
RIA
CRD#: 161131
STAMFORD, CT
Past
May 4, 1982 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
May 4, 1982 - November 8, 2010
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
STAMFORD, CT
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alaska(6/6/2023)
RR
California(6/21/2001)
RR
Colorado(6/5/2023)
RR
Connecticut(7/30/2012)
IAR
Connecticut(8/28/2018)
RR
Delaware(6/13/2023)
RR
Florida(6/27/2001)
RR
Georgia(6/6/2023)
RR
Maryland(6/6/2023)
RR
Massachusetts(6/5/2023)
RR
Missouri(6/2/2023)
RR
New Jersey(11/16/2022)
RR
New York(9/13/2012)
RR
Ohio(6/6/2023)
RR
South Carolina(6/5/2023)
RR
South Dakota(1/22/2024)
RR
Texas(6/2/2023)
RR
Utah(6/2/2023)
RR
Virginia(1/19/2024)
Exams
State Security Law 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
