KC
Karen M. Cecile
M HOLDINGS SECURITIES
Denver, CO 80237
Some features on this profile are disabled
CRD#: 1874096
KC
Professional summary
Karen Marie Cecile, who also goes by Karen Cecile Duval, is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Denver, Colorado.
Karen is registered as a RR (Registered Representative) and started their career in finance in 1988. Karen has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Karen Cecile Duval
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.
CRS (Client Relationship Summary) - BD
Click below to view Karen Marie Cecile'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
March 28, 2001 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 7979 E Tufts Suite 1550, Denver, CO 80237RIA
BD
CRD#: 43285
Denver, CO
Past
May 21, 1998 - April 6, 2001
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
October 7, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
October 7, 1988 - March 3, 1997
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
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.
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
Alabama(2/5/2024)
RR
Arizona(12/5/2006)
RR
Arkansas(11/24/2021)
RR
California(11/10/2017)
RR
Colorado(3/28/2001)
RR
Connecticut(11/24/2021)
RR
Florida(11/24/2021)
RR
Georgia(11/24/2021)
RR
Hawaii(4/25/2025)
RR
Idaho(11/24/2021)
RR
Illinois(11/24/2021)
RR
Iowa(11/24/2021)
RR
Kansas(11/24/2021)
RR
Louisiana(11/24/2021)
RR
Maine(11/24/2021)
RR
Maryland(11/24/2021)
RR
Massachusetts(11/24/2021)
RR
Michigan(11/24/2021)
RR
Minnesota(11/24/2021)
RR
Missouri(11/10/2017)
RR
Montana(11/24/2021)
RR
Nebraska(11/10/2017)
RR
Nevada(11/24/2021)
RR
New Hampshire(4/25/2025)
RR
New Mexico(11/24/2021)
RR
New York(11/10/2017)
RR
North Carolina(11/29/2021)
RR
Ohio(11/26/2021)
RR
Oklahoma(11/24/2021)
RR
Oregon(11/24/2021)
RR
Pennsylvania(11/24/2021)
RR
South Carolina(11/24/2021)
RR
South Dakota(11/24/2021)
RR
Tennessee(4/25/2025)
RR
Texas(11/10/2017)
RR
Utah(11/24/2021)
RR
Vermont(1/29/2024)
RR
Virginia(11/24/2021)
RR
Washington(11/24/2021)
RR
West Virginia(2/5/2024)
RR
Wisconsin(11/24/2021)
RR
Wyoming(3/6/2013)
Exams
State Security Law Exam
General Industry/Product 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.
