Jeffry Alan Bartosic
Professional Summary
Jeffry Alan Bartosic, who also goes by Jeffry Alan Bartosic, Jeff Alan Bartosic, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Appleton, Wisconsin. Jeffry is registered as a RR (Registered Representative) and started their career in finance in 1973. Jeffry has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jeffry Alan Bartosic, Jeff Alan Bartosic
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
53 years in the financial services industry
Current & Past Employments
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Current Firm
M HOLDINGS SECURITIES, INC.
Contact Information
Main Address
1125 N.w. Couch Street Suite 900, Portland, OR 97209Mailing Address
P.o. Box 2207, Portland, OR 97208-2207Phone Number
(888) 520-6784Established
Oregon since 03/21/1997Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
1,442SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
8,115AUM (Assets Under Management)
$3,206,330,654Disclosures
Regulatory Event
5Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2026 | Cover Page | Report |
| 09/10/2025 | Cover Page | Report |
| 11/13/2024 | Cover Page | Report |
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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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
M HOLDINGS SECURITIES, INC.
State Registrations and Notice Filings
(10/29/2020)
(5/2/2023)
(9/27/2023)
(10/29/2020)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Nov 1973SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Jeffry Alan Bartosic's CRS (Customer Relationship Summary).
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