Carin Phelan
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.
Carin Phelan, who also goes by Carin Maria Phelan, Carin M VIncent, Carin Maria Vincent, was a registered financial professional .
Carin is a previously registered financial professional and started their career in finance in 1990. Carin had worked at 8 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2022 - January 29, 2024
M HOLDINGS SECURITIES, INC.
June 28, 2013 - August 20, 2013
COREBRIDGE CAPITAL SERVICES, INC.
May 12, 2008 - June 28, 2013
AMERICAN GENERAL EQUITY SERVICES CORPORATION
May 15, 2001 - September 30, 2004
MONY SECURITIES CORPORATION
January 1, 1999 - March 7, 2001
PINEBRIDGE SECURITIES LLC
March 20, 1996 - November 19, 1997
METROPOLITAN LIFE INSURANCE COMPANY
March 20, 1996 - November 19, 1997
MSI FINANCIAL SERVICES, INC.
May 22, 1990 - January 23, 1996
LINCOLN FINANCIAL 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 6TO
Date: 11/15/2022
Investment Company Products/Variable Contracts 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.
