TM
Thomas J. Mcdowell
M HOLDINGS SECURITIES
Sioux Falls, SD 57108
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CRD#: 1643939
TM
Professional summary
Thomas John Mcdowell is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Sioux Falls, South Dakota.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 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) Tan Tara Partners, LLC; 609 East Tan Tara Circle, Sioux Falls, SD 57108; Owner/Manager; Own & manage building my office occupies; Not Investment Related; 02/2010; 0 hours/month; 0 hours/month during business hours. 2) Avera McKennan Foundation, 1325 South Cliff Avenue, Plz 4, Sioux Falls, SD 57117; Board Member; Outside insurance brokerage; Not Investment Related, 01/27/2014; 2 hours/month; 2 hours/month during business hours. 3) Huether Family Match Pointe Board of Directors; 4210 North Bobhalla Drive, Sioux Falls, SD 57107; Board Member; Not Investment Related; Immediate Past Chair; Attend meetings; 2017; 2 hours/month; 1 hour/month during trading hours. 4) New West Insurance; 609 East Tan Tara Circle, Sioux Falls, SD 57108; Insurance; Investment Related; Agent; Occasional conversion of term life insurance; 12/07/2018; 1 hour/month; 1 hour/month during trading hours. 5) McDowell Financial Group; 609 East Tan Tara Circle, Sioux Falls, SD 57108; Owner/President; Provide clients with life insurance policies/advice; Investment Related; 04/2016; 180 hours/month; 180 hours/month during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas John Mcdowell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas John Mcdowell'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
April 14, 2016 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 609 E. Tan Tara Circle, Ste 101, Sioux Falls, SD 57108RIA
BD
CRD#: 43285
Sioux Falls, SD
Current
April 1, 2016 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 609 E. Tan Tara Circle, Ste 101, Sioux Falls, SD 57108RIA
BD
CRD#: 43285
Sioux Falls, SD
Past
July 29, 2003 - April 8, 2016
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SIOUX FALLS, SD
Past
March 23, 1987 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
March 23, 1987 - April 8, 2016
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SIOUX FALLS, SD
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(4/1/2016)
RR
Colorado(4/1/2016)
RR
Florida(5/25/2023)
RR
Hawaii(4/4/2016)
RR
Illinois(10/21/2019)
RR
Iowa(7/20/2023)
RR
Massachusetts(10/21/2019)
RR
Minnesota(4/1/2016)
RR
New Jersey(6/28/2023)
RR
South Dakota(4/1/2016)
IAR
South Dakota(4/14/2016)
RR
Texas(1/15/2025)
RR
Washington(2/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
M HOLDINGS SECURITIES, INC.
CRD#: 43285Sioux Falls, SD 57108TRUST BUT VERIFY
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