Linda C. Difede
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.
Linda Carol Difede, who also goes by Linda Carol Conover, Linda Ellington, Linda Carol Harding, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1983. Linda had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2014 - November 24, 2014
M HOLDINGS SECURITIES, INC.
February 18, 2014 - November 24, 2014
M HOLDINGS SECURITIES, INC.
January 3, 2011 - January 9, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - January 9, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 2, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
October 2, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 2, 2008 - August 15, 2008
M HOLDINGS SECURITIES, INC.
April 20, 2004 - May 11, 2007
COMERICA SECURITIES
April 20, 2004 - May 11, 2007
COMERICA SECURITIES
December 17, 2003 - March 26, 2004
CHASE INVESTMENT SERVICES CORP.
December 17, 2003 - March 26, 2004
CHASE INVESTMENT SERVICES CORP.
February 20, 2003 - December 2, 2003
COMERICA SECURITIES
January 5, 2000 - December 2, 2003
COMERICA SECURITIES
June 17, 1999 - December 15, 1999
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
January 27, 1993 - April 27, 1999
BA INVESTMENT SERVICES, INC.
January 8, 1992 - March 16, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 8, 1992 - March 16, 1992
PRUCO SECURITIES, LLC.
February 6, 1989 - May 4, 1990
NYLIFE SECURITIES LLC
June 3, 1988 - January 1, 1989
RAUSCHER PIERCE REFSNES, INC.
January 16, 1986 - December 2, 1991
PRUDENTIAL EQUITY GROUP, LLC
February 19, 1985 - November 5, 1985
RELATED EQUITIES CORPORATION
March 2, 1983 - August 10, 1984
LEHMAN BROTHERS 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
Series 8
Date: 12/6/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
