MW
Mark G. Walton
M HOLDINGS SECURITIES
SAN JUAN CAPISTRANO, CA
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CRD#: 1273105
MW
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
Are you a "fiduciary"?
Yes
Aliases
Mark G Walton | Wally Walton
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) Walton Financial Consulting; 25577 Via Solis, San Juan Capistrano, CA 92675; 01/1990; Owner; Financial services (fixed insurance, group benefits, consulting projects, annuities, LTC, disability, etc.); Not Investment Related; 15 hours/month; 15 hours/month during business hours; Ownership, fees, commissions. 2) Unicity; 1201 North 800 East, Orem, UT 86097; 01/2007; Independent Distributor; Nutrition sales; Not Investment Related; 1 hour/month; 0 hours/month during business hours; No Compensation. 3) North American Client Services, Inc.; 32836 Pacific Coast Highway, Suite 203, Dana Point, CA 92629; 3/15/2019; Vice President, Risk management, oversight to various departments/projects; Investment Related; 160 hours/week; 160 hours/week during business hours; Expense reimbursement, ownership, wages/salary/tips, employee benefits. 4) NAHS Holding, Inc.; 25910 Acero Road; Suite 350; Mission Viejo; California; 92691; 06/29/2018; Director/Chair of Compensation Committee; Not Investment Related; 4 hours/month; 4 hours/month during business hours; Expense reimbursement, wages/salary, health benefits. 5) FORTIS ASSURANCE, INC.; POSITION: President & Director NATURE: Provide a portion of the General Liability and Professional Liability, Workers' Compensation and employee benefits coverages through Fortis to NAHS Holding, Inc. and its subsidiaries. Fortis is a captive insurance company owned by NAHS Holding, Inc. Other coverages may be provided by Fortis from time to time, i.e, D&O & Employment Law insurance coverages.; INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 06/29/2020; ADDRESS: 25910 Acero Road, Suite 350, Mission Viejo CA 92691, United States DESCRIPTION: President - responsible for the operations, policies and new lines of coverages. I work closely with our third-party captive administration firm and the CFO of Fortis. I approve expense and settlement payments. 6) The Walton Family Trust DTD 03/25/1989; 25577 Via Solis San Juan Capistrano, CA 92675; Trust; Investment Related; Trustee; Handle finances for mother; 07/04/2020; 10 hours per month; 5 hours per month during trading hours. 7) M BENEFIT SOLUTIONS; 1125 Couch Street, Suite 900, Portland OR 97209; M Financial Member Firm Affiliation; Investment related; Advisor; Design and implement nonqualified deferred compensation plans. Assist in estate planning, income replacement and identify other needs for life insurance and placing the policies; 5/15/2015; 4 hours per month; 4 hours per month during trading hours.
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
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
June 25, 2015 - Present
M HOLDINGS SECURITIES, INC.
RIA
BD
CRD#: 43285
SAN JUAN CAPISTRANO, CA
Current
June 24, 2015 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 1125 N.w. Couch Street Suite 900, Portland, OR 97209RIA
BD
CRD#: 43285
Portland, OR
Past
March 19, 2014 - June 4, 2015
ALVAREZ & MARSAL SECURITIES, LLC
BD
CRD#: 127858
NEW YORK, NY
Past
September 17, 2012 - March 17, 2014
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
SAN JUAN CAPISTRANO, CA
Past
September 17, 2012 - March 17, 2014
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
PORTLAND, OR
Past
May 1, 2009 - October 4, 2012
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
JUAN CAPISTRANO, CA
Past
May 1, 2009 - October 4, 2012
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
JUAN CAPISTRANO, CA
Past
April 26, 2005 - May 4, 2009
BG WORLDWIDE SECURITIES, INC.
BD
CRD#: 121735
WESTLAKE VILLAGE, CA
Past
February 11, 1998 - April 26, 2005
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
October 4, 1994 - January 16, 1996
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 19, 1989 - October 13, 1994
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
November 3, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
August 24, 1988 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
BD
CRD#: 6566
GLENDALE, CA
Past
October 23, 1984 - August 25, 1988
FIRST AFFILIATED SECURITIES, INC.
BD
CRD#: 6871
Past
August 1, 1984 - November 21, 1984
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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
California(6/24/2015)
IAR
California(6/25/2015)
RR
Illinois(6/24/2015)
RR
Michigan(1/17/2025)
RR
South Dakota(8/12/2015)
RR
Washington(6/24/2015)
Exams
State Security Law 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.
