CJ
Carleton W. Jones
M HOLDINGS SECURITIES
Daytona Beach, FL 32114
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CRD#: 1344102
CJ
Professional summary
Carleton Wilson Jones is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Daytona Beach, Florida.
Carleton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Carleton has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) Executive Compensation Group, LLC; 325 North Williamson Blvd., Suite 120, Daytona Beach, FL 32114; 06/2006; Registered rep/producer; Sales of securities, insurance and RIA business; Investment related; 100 hours/month; 100 hours/month during business hours; Commissions, RIA fees.
CRS (Client Relationship Summary) - RIA
Click below to view Carleton Wilson Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carleton Wilson Jones'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
October 26, 2006 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 325 N. Williamson Blvd Suite 120, Daytona Beach, FL 32114RIA
BD
CRD#: 43285
Daytona Beach, FL
Current
June 12, 2006 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 325 N. Williamson Blvd Suite 120, Daytona Beach, FL 32114RIA
BD
CRD#: 43285
Daytona Beach, FL
Past
March 4, 1996 - June 21, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DAYTONA BEACH, FL
Past
March 4, 1996 - June 21, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 15, 1989 - March 21, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 23, 1985 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
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(2/25/2021)
RR
Colorado(6/13/2006)
RR
Connecticut(10/26/2015)
RR
Delaware(3/6/2018)
RR
District of Columbia(11/13/2006)
IAR
District of Columbia(3/2/2023)
RR
Florida(6/13/2006)
IAR
Florida(10/26/2006)
RR
Georgia(6/12/2006)
RR
New York(6/12/2006)
RR
North Carolina(6/12/2006)
RR
North Dakota(5/15/2018)
RR
Tennessee(2/5/2025)
RR
Virginia(6/12/2006)
RR
Washington(12/13/2021)
RR
West Virginia(2/23/2010)
Exams
State Security Law Exam
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.
