AG
Allan Goldstein
M HOLDINGS SECURITIES
Jupiter, FL
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CRD#: 1325431
AG
Professional summary
Allan Goldstein is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Jupiter, Florida.
Allan is registered as a RR (Registered Representative) and started their career in finance in 1986. Allan has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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. NETSTUDY - PRIVATELY HELD COMP- CE ONLINE FOR INSURANCE PROFESSIONAL - 30% OWNERSHIP - PASSIVE - 0% TIME & COMP 2. GOLDSTEIN FINANCIAL CORP - LIFE/BENEFITS SALES/SERVICE - 100% INTEREST HELD W/A&M - FLP - OFFICER - 60% TIME - SALARY/BONUS 3. THE INSURANCE DESIGN CENTER, LLC - CONSULTING - 100% INTEREST W/A&M - 35% TIME 4. FRIEDMAN PARTNERSHIP - REAL ESTATE PARTNERS - PASSIVE - $25,000 INVESTMENT - 10% OWNERSHIP 5. SENIOR ALTERNATIVES - HOME COMMUNITY - 25,000 INVESTMENTS - 10% OWNERSHIP 6. A&M INVESTMENTS - 99% OWNER - ESTATE PLANNING PURPOSES 7. COVENTRY, LIS, ADVANCED SETTLEMENTS, WELCOME FUNDS, ASHAR GROUP, LLC,ORLANDO, FL, THE NORSEMAN GROUP, LIBERTYVILLE,IL- LIFE SETTLEMENTS(FIXED PRODUCTS, COMMISSIONS LIFE INSURANCE SETTLEMENT COMPANY, COMMISSIONS 8. COUNCIL FOR JEWISH ELDERLY; 3003 WEST TOUHY AVENUE, CHICAGO, IL 60645; SINCE NOV 2014; BOARD MEMBER; 4 HRS/MONTH 2 DURING TRADING; NO COMP; NOT INVESTMENT RELATED 9. JEWISH UNITED FUND PROFESSIONAL ADVISOR COMMITTEE; 30 S. WELLS STREET CHICAGO IL 60606; NOT INVEST RELATED; HRS/MONTH - ALL HRS/BUSINESS; NO COMPENSATION 10. GFG INSURANCE SERVICES, LLC; 740 WAUKEGAN ROAD, SUITE 310, DEERFIELD, IL 60015; 02/12/2019; MEMBER; FIXED INSURANCE/ANNUITY SALES ONLY; INVESTMENT RELATED; 100 HOURS/MONTH; 90 HOURS/MONTH DURING BUSINESS HOURS; EXPENSE REIMBURSEMENT, OWNERSHIP, PROFITS, COMMISSIONS, WAGES, SALARY, TIPS. CAPITAL STRATEGIES GROUP POSITION: To be determined NATURE: Capital Strategies Group is a wealth preservation-focused insurance firm serving ultra-high-net-worth families and their companies for over 25 years and is a shareholder firm of M Financial Group based in Portland Oregon. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 07/01/2022 ADDRESS: 850 Shades Creek Pkwy # 300, Birmingham AL 35209, United States DESCRIPTION: I will introduce advisors with whom I've worked or associated with and new prospects to the firm for the purpose of securing new life insurance sales opportunities. I will be participating in sales and service activities and transferring my inforce clients to the firm for service.
CRS (Client Relationship Summary) - BD
Click below to view Allan Goldstein'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®
NoneExperience
Current
March 30, 2009 - Present
M HOLDINGS SECURITIES, INC.
Office #2: 740 Waukegan Road, Suite 310, Deerfield, IL 60015RIA
BD
CRD#: 43285
Jupiter, FL
Past
March 30, 2009 - September 13, 2022
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
PORTLAND, OR
Past
April 4, 2000 - April 3, 2009
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
DEERFIELD, IL
Past
November 18, 1988 - April 28, 2000
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
September 21, 1988 - February 28, 1989
CRI SECURITIES, LLC
BD
CRD#: 22589
ST. PAUL, MN
Past
December 2, 1987 - September 21, 1988
CONSOLIDATED RESOURCES, INC.
BD
CRD#: 13747
Past
January 21, 1986 - December 31, 1991
MESIROW INVESTMENT SERVICES, INC.
BD
CRD#: 15113
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.
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(1/10/2022)
RR
California(8/19/2020)
RR
Florida(3/30/2009)
RR
Georgia(11/14/2022)
RR
Illinois(3/30/2009)
RR
Indiana(3/30/2009)
RR
Michigan(3/30/2009)
RR
New Jersey(11/10/2022)
RR
New York(11/10/2022)
RR
Texas(11/14/2022)
RR
Wisconsin(3/30/2009)
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.
