Alec P. Berkman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alec Paul Berkman was a registered financial professional .
Alec is a previously registered financial professional and started their career in finance in 1970. Alec had worked at 9 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2000 - December 21, 2017
M HOLDINGS SECURITIES, INC.
January 5, 1995 - December 8, 2000
MUTUAL SERVICE CORPORATION
February 8, 1988 - December 31, 1994
MUTUAL SERVICE CORPORATION
October 27, 1980 - February 10, 1988
TITAN/VALUE EQUITIES GROUP, INC.
November 17, 1977 - September 27, 1980
INTEGRATED RESOURCES EQUITY CORPORATION
January 26, 1977 - March 1, 1980
LINSCO FINANCIAL GROUP, INC.
October 1, 1973 - October 23, 1986
ILG SECURITIES CORPORATION
January 5, 1973 - September 13, 1973
BELL SECURITIES CORPORATION
July 6, 1972 - February 23, 1973
EASTLAND SECURITIES CORP.
May 19, 1970 - July 29, 1972
AMERICAN PACIFIC DISTRIBUTORS, INC.
Primary Firm SEC Registration
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/26/1968
Registered Representative ExaminationCurrent Firm
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
Contact information
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.
