RF
Robert J. Fiondella
M HOLDINGS SECURITIES
Simsbury, CT 06089
Some features on this profile are disabled
CRD#: 2156110
RF
Professional summary
Robert Jon Fiondella, CLU®, who also goes by Bob Fiondella, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Simsbury, Connecticut.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Fiondella
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) RF Capital, LLC; 01/2009; Member; Mortgage Broker; Not Investment Related; Minimal involvement. 2) FDMM Association, LLC; 05/2010; CFO; Producer/distributor of Limoncello; Not Investment Related; 10 hours/month; 0 hours/month during business hours; No Compensation. 3) Amy????s Angels Corporation; 92 Hopmeadow Street, Simsbury, CT 06089; 01/01/2014; Founder; 501c3 that provides support to individuals and their families dealing with serious illness or injury; Not Investment Related; 80 hours/month; 40 hours/month during business hours; No Compensation. 4) F&H Properties LLC; 90 Hopmeadow Street, Simsbury, CT 06089; 01/24/2005; Member; LLC owns real estate; Not Investment Related; 1 hour/month; 1 hour/month during business hours; No Compensation. 5) Fiondella Family Foundation Inc.; 90 Hopmeadow Street, Simsbury, CT 06089; 11/12/2010; Director; Assist in running annual golf tournament to benefit various local charities; Not Investment Related; 1 hour/month; 1 hour/month during business hours; No Compensation. 6) FF&W LLC; 90 Hopmeadow Street, Simsbury, CT 06089; 04/20/2000; Member; LLC owns office property; Not Investment Related; 1 hour/month; 1 hour/month during business hours; Ownership, Rental income. 7) Farmington Unico; https://farmington-unico.org/u/; 04/01/2014; President; Raise funds through a pasta dinner and golf tournament, to provide scholarships to local students and support area charities; Not Investment Related; 3 hours/month; 3 hours/month during business hours; No Compensation. 8) Wealth Preservation Partners LLC; 90 Hopmeadow Street, Simsbury, CT 06089; 03/2009; principal; Offer insurance products to the public; Not Investment Related; 40 hours/month; 40 hours/month during business hours; Ownership, Profits, Commissions, Wages/Salary. 9) Fiondella Insurance and Retirement Planning Inc.; 90 Hopmeadow Street, Simsbury, CT 06089; 01/1990; President; Sale of insurance products; Not Investment Related; 160 hours/month; 160 hours/month during business hours; Ownership, Profits, Commissions, Wages/Salary.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Jon Fiondella's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Jon Fiondella'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®
Experience
Current
February 27, 2003 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 90 Hopmeadow Street, Simsbury, CT 06089RIA
BD
CRD#: 43285
Simsbury, CT
Current
January 10, 2003 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 90 Hopmeadow Street, Simsbury, CT 06089RIA
BD
CRD#: 43285
Simsbury, CT
Past
November 15, 2002 - January 13, 2003
MAIN STREET MANAGEMENT COMPANY
RIA
CRD#: 547
SIMSBURY, CT
Past
February 6, 2002 - January 13, 2003
MAIN STREET MANAGEMENT COMPANY
BD
CRD#: 547
BOSTON, MA
Past
March 25, 1999 - February 11, 2002
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
August 8, 1991 - April 1, 1999
DOMINARI SECURITIES LLC
BD
CRD#: 18975
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.
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(5/23/2011)
RR
California(9/25/2025)
IAR
California(9/25/2025)
RR
Colorado(4/8/2025)
IAR
Colorado(4/9/2025)
RR
Connecticut(1/10/2003)
IAR
Connecticut(2/27/2003)
RR
District of Columbia(1/10/2003)
RR
Florida(1/10/2003)
RR
Illinois(1/10/2003)
RR
Iowa(11/20/2020)
RR
Maine(4/9/2025)
IAR
Maine(4/9/2025)
RR
Massachusetts(1/10/2003)
RR
New Hampshire(4/9/2025)
RR
New Jersey(1/10/2003)
RR
New York(1/10/2003)
RR
North Carolina(4/28/2009)
IAR
North Carolina(4/9/2025)
RR
Ohio(4/23/2025)
RR
Oregon(8/31/2007)
RR
Rhode Island(3/11/2004)
IAR
Rhode Island(5/1/2025)
RR
Texas(9/9/2022)
RR
Virginia(1/10/2003)
Exams
State Security Law Exam
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.
