Stanley I. Strouch
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.
Stanley Ira Strouch, who also goes by Stanley I Strouch, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1983. Stanley had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 27, 2016 - February 15, 2018
M HOLDINGS SECURITIES, INC.
March 27, 2000 - April 23, 2007
KESTRA INVESTMENT SERVICES, LLC
January 23, 1994 - April 11, 2000
NATHAN & LEWIS SECURITIES, INC.
March 9, 1993 - January 1, 1994
OSAIC WEALTH, INC.
October 12, 1990 - January 29, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
June 24, 1983 - December 14, 1990
AETNA FINANCIAL SERVICES, INC.
June 19, 1983 - August 14, 1989
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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 2
Date: 6/14/1968
Non-Member General Securities ExaminationCurrent 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.
