Deborah M. Delarosa
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.
Deborah Maureen Delarosa, who also goes by Deborah M Cotter, Deborah Maureen Cotter, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1984. Deborah had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2015 - July 14, 2015
M HOLDINGS SECURITIES, INC.
January 21, 2015 - July 14, 2015
M HOLDINGS SECURITIES, INC.
March 11, 2005 - March 16, 2007
MEEDER DISTRIBUTION SERVICES, INC.
February 26, 2002 - September 17, 2002
MEEDER DISTRIBUTION SERVICES, INC.
November 6, 2001 - December 19, 2001
NATIONAL PLANNING CORPORATION
January 29, 2001 - July 9, 2001
CHARLES SCHWAB & CO., INC.
November 6, 1997 - May 27, 1999
CITIGROUP GLOBAL MARKETS INC.
February 14, 1996 - September 25, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 10, 1992 - November 13, 1995
MUTUAL SERVICE CORPORATION
October 22, 1986 - June 12, 1987
MORGAN STANLEY & CO. LLC
July 17, 1984 - December 8, 1986
FORESTERS FINANCIAL SERVICES, 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
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.
