SG
Scott A. Greenberg
M HOLDINGS SECURITIES
Park City, UT
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CRD#: 1523402
SG
Professional summary
Scott Andrew Greenberg, who also goes by Scott A Greenberg, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Park City, Utah.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Scott has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott A Greenberg
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) Greenberg, Wexler & Eig; 4600 East West Highway, Suite 875, Bethesda, MD 20814; 10/2001; Founder and Principal; Sales & service of insurance and investment products; Investment Related; 160 hours/month; 160 hours/month during business hours; Ownership; Commissions; Wages/Salary. 2) The Vine Guy; 10100 Garden Way, Potomac, MD 20854; 06/2003; Wine Columnist; Write a weekly wine column for a daily newspaper; Not Investment Related; 12 hours/month; 0 hours/month during business hours; Wages/Salary/Tips. 3) Freedman Risk Management, LLC; www.freemandriskmanagement.com; 12/15/2016; Partner; Prospect market, promote personal lines of life insurance, including home, auto, plane, boat, collections; Not Investment Related; 2 hours/month, 2 hours/month during business hours; Profits. 4) DC Family Business Forum (DCFBF); http://www.dcfamilybusinessforum.com/; 6/13/2016; Sponsor; Speaking series event planning; Not investment related; 5 hours/month; 5 hours/month during business hours; No compensation. 5) Gateway Reserve Insurance Network (GRIN); 05/01/2019; Member; GRIN is used for marketing purposes only, no business conducted; Investment related; 15 hours/month; 10 hours/month during business hours; No compensation. 6) KPCW Radio; 460 Swede Alley, Ste 200, Park City, UT 84060; Radio Show; Not investment related; Co-host; Responsible for interviewing authors and scientists for a weekly one-hour segment for a public affairs radio show called Cool Science Radio on KPCW; 08/07/2025; 16 ho/mo; 2 ho/mo during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Andrew Greenberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Andrew Greenberg'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
September 18, 2002 - Present
M HOLDINGS SECURITIES, INC.
Office #2: 7315 Wisconsin Avenue Suite 250 E, Bethesda, MD 20814RIA
BD
CRD#: 43285
Park City, UT
Current
September 3, 2002 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 7315 Wisconsin Avenue Suite 250 E, Bethesda, MD 20814RIA
BD
CRD#: 43285
Bethesda, MD
Past
July 7, 1986 - September 14, 2002
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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
District of Columbia(9/3/2002)
IAR
District of Columbia(3/2/2023)
RR
Georgia(9/3/2002)
RR
Maryland(9/3/2002)
IAR
Maryland(9/18/2002)
RR
Massachusetts(10/30/2007)
RR
Montana(7/28/2010)
RR
Oregon(12/8/2009)
RR
South Carolina(9/3/2002)
RR
Utah(7/27/2023)
IAR
Utah(12/21/2023)
RR
Virginia(9/3/2002)
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.
