DE
Dennis L. Eslick
M HOLDINGS SECURITIES
Gilbert, AZ
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CRD#: 1139480
DE
Professional summary
Dennis Lee Eslick, ChFC®, CLU®, who also goes by Denny Eslick, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Gilbert, Arizona.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Dennis has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Denny Eslick
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) Eslick Financial Group, Inc.; 999 Home Plaza, Suite 201, Waterloo, IA 50701; 04/2006; President; Provide wealth management, insurance and retirement planning services to clients; Investment Related; 160 hours/month; 160 hours/month during business hours; Ownership, profits, expense reimbursement; commissions, wages/salary/tips, referrals/referral fees, trips/vacation rentals. 2) UNI Panther Scholarship Club Board; 1227 West 27th Street, Cedar Falls, IA 50614; 2006; Member; Fundraising for UNI Athletic Club & raise money for scholarships; Not Investment Related; 2 hours/month; 2 hours/month during business hours; No Compensation.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Lee Eslick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Lee Eslick'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
November 17, 2006 - Present
M HOLDINGS SECURITIES, INC.
Office #2: 999 Home Plaza Suite 201, Waterloo, IA 50701RIA
BD
CRD#: 43285
Gilbert, AZ
Current
October 31, 2001 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 999 Home Plaza Suite 201, Waterloo, IA 50701RIA
BD
CRD#: 43285
Waterloo, IA
Past
January 1, 1999 - October 9, 2008
NET WORTH ADVISORS
RIA
CRD#: 107596
WATERLOO, IA
Past
April 3, 1998 - November 13, 2001
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
August 31, 1995 - November 2, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
November 29, 1990 - April 3, 1998
AEGON USA SECURITIES INC.
BD
CRD#: 13302
CEDAR RAPIDS, IA
Past
April 4, 1988 - November 29, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
July 25, 1983 - April 6, 1988
AEGON USA SECURITIES INC.
BD
CRD#: 13302
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
Arizona(11/10/2017)
RR
Colorado(11/17/2023)
RR
Florida(11/2/2001)
IAR
Florida(2/2/2023)
RR
Illinois(8/20/2002)
RR
Iowa(11/2/2001)
IAR
Iowa(11/17/2006)
RR
Minnesota(5/20/2014)
RR
Missouri(8/1/2002)
RR
Nebraska(2/23/2012)
IAR
Nevada(12/10/2024)
IAR
Ohio(12/6/2024)
IAR
Texas(12/5/2024)
RR
Virginia(11/10/2017)
RR
Wisconsin(4/26/2004)
IAR
Wisconsin(2/2/2023)
Exams
State Security Law 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.
