Michael L. Shirley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Lowell Shirley, who also goes by Mickey Shirley, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 6 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2008 - January 22, 2013
M HOLDINGS SECURITIES, INC.
September 22, 2006 - June 20, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 1997 - June 20, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 8, 1987 - January 30, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 1983 - June 30, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
January 25, 1983 - April 28, 1987
LINCOLN NATIONAL PENSION INSURANCE COMPANY
January 25, 1983 - May 12, 1987
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 25, 1983 - May 12, 1987
OSAIC FA, INC.
Primary Firm SEC Registration
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
Contact information
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.
