OC
Owen Cook
M HOLDINGS SECURITIES
Dallas, TX 75204
Some features on this profile are disabled
CRD#: 1906358
OC
Professional summary
Owen Cook Jr, who also goes by Owen Jr Cook, Owen Cook Jr, Owen Cook, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Dallas, Texas.
Owen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Owen has worked at 8 firms and has passed the Series 66, Series 63, Series 57TO, Series 52TO, SIE, Series 31, Series 55, Series 7, Series 6, Series 9, Series 10, Series 12, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Owen Jr Cook | Owen Cook Jr | Owen Cook
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) - RIA
Click below to view Owen Cook Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Owen Cook Jr'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 4, 2024 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 2699 Howell Street Suite 1100, Dallas, TX 75204RIA
BD
CRD#: 43285
Dallas, TX
Current
April 4, 2024 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 2699 Howell Street Suite 1100, Dallas, TX 75204RIA
BD
CRD#: 43285
Dallas, TX
Past
September 4, 2018 - February 9, 2024
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Westlake, TX
Past
September 4, 2018 - February 9, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Westlake, TX
Past
April 19, 2016 - July 9, 2018
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
AUSTIN, TX
Past
January 14, 2005 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
January 14, 2005 - July 9, 2018
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
February 20, 2004 - June 14, 2004
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
MONUMENT, CO
Past
April 21, 1995 - October 29, 2002
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
July 17, 1991 - June 2, 1995
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
Past
February 22, 1990 - January 25, 1991
PEGASUS CAPITAL CORPORATION
BD
CRD#: 13658
ARLINGTON, VA
Past
December 14, 1988 - February 8, 1990
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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
Alabama(8/14/2025)
RR
Alaska(8/14/2025)
RR
Arizona(8/14/2025)
RR
Arkansas(8/14/2025)
RR
California(8/14/2025)
RR
Colorado(8/14/2025)
RR
Connecticut(8/14/2025)
RR
Delaware(8/14/2025)
RR
District of Columbia(8/14/2025)
RR
Florida(8/14/2025)
RR
Georgia(8/14/2025)
RR
Hawaii(8/14/2025)
RR
Idaho(8/14/2025)
RR
Illinois(8/14/2025)
RR
Indiana(8/14/2025)
RR
Iowa(8/14/2025)
RR
Kansas(8/14/2025)
RR
Kentucky(8/14/2025)
RR
Louisiana(8/14/2025)
RR
Maine(8/14/2025)
RR
Maryland(8/14/2025)
RR
Massachusetts(8/14/2025)
RR
Michigan(8/14/2025)
RR
Minnesota(8/14/2025)
RR
Mississippi(8/14/2025)
RR
Missouri(8/14/2025)
RR
Montana(8/14/2025)
RR
Nebraska(8/14/2025)
RR
Nevada(8/14/2025)
RR
New Hampshire(8/14/2025)
RR
New Jersey(8/14/2025)
RR
New Mexico(8/14/2025)
RR
New York(8/14/2025)
RR
North Carolina(8/15/2025)
RR
North Dakota(8/14/2025)
RR
Ohio(8/22/2025)
RR
Oklahoma(8/14/2025)
RR
Oregon(4/4/2024)
RR
Pennsylvania(8/14/2025)
RR
Rhode Island(8/14/2025)
RR
South Carolina(8/14/2025)
RR
South Dakota(8/14/2025)
RR
Tennessee(8/14/2025)
RR
Texas(4/4/2024)
IAR
Texas(4/4/2024)
RR
Utah(8/14/2025)
RR
Vermont(8/14/2025)
RR
Virginia(8/14/2025)
RR
Washington(8/14/2025)
RR
West Virginia(8/14/2025)
RR
Wisconsin(8/14/2025)
RR
Wyoming(8/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/28/2005
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 8/30/1996
NYSE Branch Manager ExaminationPrincipal/Supervisory Exam
Principal/Supervisory 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.
Company Information
M HOLDINGS SECURITIES, INC.
CRD#: 43285Dallas, TX 75204TRUST BUT VERIFY
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