James R. Wagner

M HOLDINGS SECURITIES

IRVINE, CA 92618

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CRD#: 1443094

Professional summary

James Robert Wagner, who also goes by James Robert Wagner Jr, is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Irvine, California.

James is registered as a RR (Registered Representative) and started their career in finance in 1985. James has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Robert Wagner Jr

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Robert Wagner's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 1, 2014 - Present

M HOLDINGS SECURITIES, INC.

Office #1: 2 Venture Suite 455, Irvine, CA 92618

RIA

CRD#: 43285

IRVINE, CA

Past

June 1, 2012 - August 4, 2014

LINCOLN INVESTMENT

CRD#: 519

TOWN AND COUNTRY, MO

Past

May 4, 2004 - June 1, 2012

CINCINNATI ANALYSTS, INC.

CRD#: 5478

TOWN AND COUNTRY, MO

Past

July 29, 2003 - March 3, 2004

P.J. ROBB VARIABLE, LLC

CRD#: 38339

MEMPHIS, TN

Past

July 2, 2001 - May 27, 2003

CLARK SECURITIES, INC.

CRD#: 43803

GREENSBORO, NC

Past

August 30, 1999 - July 2, 2001

CLARK-BARDES SECURITIES, INC.

CRD#: 29094

DALLAS, TX

Past

June 16, 1997 - February 24, 1998

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

July 31, 1992 - December 21, 1995

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

February 23, 1989 - September 24, 1990

C.A.L. INVESTMENT SERVICES INC.

CRD#: 15642

SASKATCHEWAN S4P 3B1,

Past

December 23, 1985 - June 15, 1987

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

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".

M HOLDINGS SECURITIES, INC.

CRD#: 43285 / SEC#: 801-57304, 8-50214

RIA

Registered Investment Advisory firm - SEC (3/14/2000 Approved)

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.

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

Colorado
(7/30/2024)

District of Columbia
(7/30/2024)

Florida
(9/10/2014)

Kansas
(7/30/2024)

Missouri
(8/1/2014)

Ohio
(3/17/2025)

Oklahoma
(8/3/2021)

Oregon
(12/9/2016)

Texas
(7/30/2024)

Washington
(9/10/2014)

Wyoming
(3/28/2025)

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

State Security Law Exam

Series 63

Date: 7/29/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/1985

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

M HOLDINGS SECURITIES, INC.

CRD#: 43285 / SEC#: 801-57304, 8-50214

RIA

Registered Investment Advisory firm - SEC (3/14/2000 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

M HOLDINGS SECURITIES, INC. FORM 2A ADV FIRM BROCHURE (10/2/2025)

WEALTHPURSUIT WRAP FEE PROGRAMS BROCHURE (10/2/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/10/2025	Cover Page	Report
11/13/2024	Cover Page	Report
08/28/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

James R. Wagner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Robert Wagner's CRS (Customer Relationship Summary).

Certified licenses

Experience

LINCOLN INVESTMENT

CINCINNATI ANALYSTS, INC.

P.J. ROBB VARIABLE, LLC

CLARK SECURITIES, INC.

CLARK-BARDES SECURITIES, INC.

FIRST UNION BROKERAGE SERVICES, INC.

OSAIC FS, INC.

C.A.L. INVESTMENT SERVICES INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

M HOLDINGS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/29/1997

SIE

Date: 10/1/2018

Series 7

Date: 12/21/1985

FINRA

Current Firm

M HOLDINGS SECURITIES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

M HOLDINGS SECURITIES, INC.

TRUST BUT VERIFY

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