JC
James E. Cleary
M HOLDINGS SECURITIES
Littleton, CO 80127
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CRD#: 2135040
JC
Professional summary
James Edward Cleary III, who also goes by James E Cleary, Jay Cleary III, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Littleton, Colorado.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. James has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James E Cleary | Jay Cleary Iii
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) Leadership Program of the Rockies; 1777 South Harrison Street, Denver, CO 80210; 10/2013; Board of Directors; Board Member; Not Investment Related; 2 hours/month; 0 hours/month during business hours; No Compensation. 2) LJ5 RE Partners, LLC; 3 Peregrine, Littleton, CO 80127; 03/30/2016; Managing Member; LLC owns our office building space, and the company rents it; Not Investment Related; 1 hour/month; 1 hour/month during business hours; Ownership. 3) LJ5 Partners, LLC; 3 Peregrine, Littleton, CO 80127; 01/05/2016; Managing Member; LLC makes investments into publicly traded securities; Investment Related; 1 hour/month; 1 hour/month during business hours; Ownership. 4) Elevate USA; P.O. Box 12290, Denver, CO 80212; 03/20/2016; Board Member; Not Investment Related; 2 hours/month; 0 hours/month during business hours; No Compensation. 5) Bridge Financial Group, LLC; 13986 West Bowles Avenue, Suite 200, Littleton, CO 80127; 01/01/2013; President & CEO; Basic activities associated with running a life insurance firm; Investment Related; 160 hours/month; 160 hours/month during business hours; Ownership, Expense Reimbursement, Profits, Commissions, Wages/Salary. 6) Carl Wormwood Estate; 3 Peregrine, Littleton CO 80127; Estate administration; Investment Related; Co-executor; Long term oversight of estate for children; 9/16/2024; 2 hours per month; 2 hours per month during business hours. 7) Carl Wormwood Revocable Trust; 3 Peregrine, Littleton CO 80127; Trust administration; Investment Related; Co-trustee; Long term oversight of trust assets for children; 9/16/2024; 2 hours per month; 2 hours per month during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Cleary III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Edward Cleary III'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 19, 2010 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 13986 W. Bowles Avenue Suite 200, Littleton, CO 80127RIA
BD
CRD#: 43285
Littleton, CO
Current
March 26, 2001 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 13986 W. Bowles Avenue Suite 200, Littleton, CO 80127RIA
BD
CRD#: 43285
Littleton, CO
Past
January 1, 1999 - January 29, 2010
FINANCIAL DESIGNS LTD.
RIA
CRD#: 114406
DENVER, CO
Past
June 1, 1998 - April 2, 2001
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
May 31, 1994 - June 9, 1998
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
May 22, 1991 - March 11, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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(3/14/2006)
RR
California(3/26/2001)
RR
Colorado(3/26/2001)
IAR
Colorado(3/19/2010)
RR
Connecticut(8/24/2007)
RR
Florida(7/31/2014)
RR
Georgia(3/2/2012)
RR
Hawaii(10/24/2014)
RR
Illinois(5/24/2006)
RR
Iowa(6/29/2018)
RR
Maryland(1/10/2024)
RR
Massachusetts(3/6/2007)
RR
Michigan(3/26/2001)
RR
Missouri(1/10/2024)
RR
Montana(1/9/2012)
RR
Nebraska(3/26/2001)
RR
Nevada(6/9/2015)
RR
New Jersey(6/29/2018)
RR
New Mexico(3/26/2001)
RR
New York(1/10/2024)
RR
North Carolina(7/12/2001)
RR
Ohio(9/26/2006)
RR
Oregon(4/12/2002)
RR
Pennsylvania(6/29/2018)
RR
South Carolina(7/11/2025)
RR
Texas(1/23/2007)
RR
Utah(3/26/2001)
RR
Virginia(3/26/2001)
RR
Washington(1/10/2024)
RR
Wyoming(3/26/2001)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
