Mark G. Walton
Professional summary
Mark Gilbert Walton, CFP®, who also goes by Mark G Walton, Wally Walton, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in San Juan Capistrano, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Mark has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Gilbert Walton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Gilbert Walton's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 25, 2015 - Present
M HOLDINGS SECURITIES, INC.
June 24, 2015 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 1125 N.w. Couch Street Suite 900, Portland, OR 97209March 19, 2014 - June 4, 2015
ALVAREZ & MARSAL SECURITIES, LLC
September 17, 2012 - March 17, 2014
M HOLDINGS SECURITIES, INC.
September 17, 2012 - March 17, 2014
M HOLDINGS SECURITIES, INC.
May 1, 2009 - October 4, 2012
KESTRA INVESTMENT SERVICES, LLC
May 1, 2009 - October 4, 2012
KESTRA INVESTMENT SERVICES, LLC
April 26, 2005 - May 4, 2009
BG WORLDWIDE SECURITIES, INC.
February 11, 1998 - April 26, 2005
THE LEADERS GROUP, INC.
October 4, 1994 - January 16, 1996
CITIGROUP GLOBAL MARKETS INC.
November 19, 1989 - October 13, 1994
OSAIC WEALTH, INC.
November 3, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 24, 1988 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
October 23, 1984 - August 25, 1988
FIRST AFFILIATED SECURITIES, INC.
August 1, 1984 - November 21, 1984
G. R. PHELPS & CO., 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
(6/24/2015)
(6/25/2015)
(6/24/2015)
(1/17/2025)
(8/12/2015)
(6/24/2015)
Exams
FINRA
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.
