RT
Richard D. Tanner
M HOLDINGS SECURITIES
Cleveland , OH 44131
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CRD#: 1421636
RT
Professional summary
Richard Douglas Tanner, CLU®, who also goes by Rich Tanner, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Cleveland , Ohio.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rich Tanner
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) 8/21/2003: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - SELLING FIXED ANNUITIES, LONG TERM CARE, DISABILITY, TERM, WHOLE AND UNIVERSAL LIFE INSURANCE. (2) 8/10/2005: OWNERSHIP ADVISORS, INC. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Provides Financial Planning for hourly and fixed. (3) 5/31/2006: No Business Name - Not Investment Related - Other-Speaker - Time Spent 1% - SPEAKER ON TOPIC OF BUSINESS SUCCESSION PLANNING TO SMALL BUSINESS OWNERS AT CONVENTIONS AND TRADE ASSOCIATIONS. (4) 8/20/2013: Ownership Advisors, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). (5) 12/3/2015: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/01/15 - 20 Hours Per Month During Securities Trading - Sell fixed life insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Douglas Tanner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Douglas Tanner'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
September 25, 2025 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 6100 Oak Tree Boulevard South Park Plaza Suite 420, Cleveland , OH 44131RIA
BD
CRD#: 43285
Cleveland , OH
Current
August 28, 2025 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 6100 Oak Tree Boulevard South Park Plaza Suite 420, Cleveland , OH 44131RIA
BD
CRD#: 43285
Cleveland , OH
Past
January 16, 2024 - November 12, 2025
OWNERSHIP ADVISORS, INC.
RIA
CRD#: 109801
CLEVELAND, OH
Past
July 15, 2003 - December 31, 2023
OWNERSHIP ADVISORS, INC.
RIA
CRD#: 109801
CLEVELAND, OH
Past
October 18, 1999 - September 2, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
CLEVELAND, OH
Past
June 29, 1998 - September 2, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
CLEVELAND, OH
Past
March 6, 1997 - June 29, 1998
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
July 23, 1990 - December 31, 1996
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
May 22, 1986 - December 16, 1988
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
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
New York(10/31/2025)
RR
Ohio(8/28/2025)
IAR
Ohio(9/25/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
