AK
Allan M. Kaplan
M HOLDINGS SECURITIES
Skokie, IL 60077
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CRD#: 1677480
AK
Professional summary
Allan Michael Kaplan MR., who also goes by Allan Michael Kaplan, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Skokie, Illinois.
Allan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Allan has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Allan Michael Kaplan
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) Lake Forest Academy; 1500 W Kennedy Road, Lake Forest, IL 60045; 11/01/19; Trustee; One of 30 trustees for this high school; Not investment related; 3 hours/month; 3 hours/month during business hours; No compensation 2) AKorp, Inc.; 8833 Gross Point Road, Skokie IL 60077; 03/01/1984; President; Previous agency, still collecting renewals; Investment related; 5 hours/month; 5 hours/month during business hours; Wages, Salary, Tips 3) Loretta K Kaplan 1997 Grantor Retained Annuity Trust; 586 Somerset Lane Northfield IL 60093; Trust; Not Investment Related; Trustee; Trustee duties; 07/13/2023; 1 hour per month; 1 hour per month during trading hours. 4) Calg Limited; 586 Somerset Lane, Northfield IL 60093; Holding company which partially owns a bowling alley through subsidary companies; Not Investment Related; Trustee of trust that owns 25% of Calg Limited; shareholder, passive investor; 01/31/2024; 0 hr / month; 0 hr / month during trading hours. 5) Carjan Limited; 586 Somerset Lane, Northfield IL 60093; Holding company which partially owns a bowling alley through subsidary companies; Not Investment Related; Trustee of trust that owns 25% of Carjan Limited; shareholder, passive investor; 01/31/2024; 0 hr / month; 0 hr / month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Allan Michael Kaplan MR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Allan Michael Kaplan MR.'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
December 2, 2005 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 8833 Gross Point Road, Suite 200, Skokie, IL 60077RIA
BD
CRD#: 43285
Skokie, IL
Current
February 21, 2001 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 8833 Gross Point Road, Suite 200, Skokie, IL 60077RIA
BD
CRD#: 43285
Skokie, IL
Past
November 17, 1997 - November 10, 2005
NEW CENTURY PLANNERS LLC
RIA
CRD#: 123879
CHICAGO, IL
Past
July 21, 1987 - February 16, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, 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
Arizona(11/30/2016)
RR
California(11/4/2020)
RR
Colorado(11/30/2016)
RR
Connecticut(2/21/2001)
RR
Florida(12/6/2010)
RR
Illinois(2/21/2001)
IAR
Illinois(12/2/2005)
RR
Iowa(5/28/2025)
RR
Michigan(11/30/2016)
RR
Missouri(2/21/2001)
RR
New Mexico(2/21/2001)
RR
New York(2/21/2001)
RR
Ohio(2/21/2001)
RR
Oklahoma(1/11/2021)
RR
South Dakota(7/30/2014)
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.
