BM
Brad Morgan
M HOLDINGS SECURITIES
CORONA DEL MAR, CA 92625
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CRD#: 2244721
BM
Professional summary
Brad Morgan is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Corona Del Mar, California.
Brad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Brad has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Iconic Watch Company, LLC; www.iconicwatchcompany.com; 03/10/2014; Member/Trustee; No Active Duties; Not Investment Related; 0 hours/month; 0 hours/month during business hours; No Compensation. (2) Morgan Advisory Group; 2101 East Coast Highway, Suite 120, Corona Del Mar, CA 92625; 02/15/2002; Manager; Sales/servicing of life and disability insurance products; Investment Related; 200 hours/month; 200 hours/month during business hours; Commissions.
CRS (Client Relationship Summary) - RIA
Click below to view Brad Morgan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brad Morgan'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
July 2, 2020 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 2101 E. Coast Hwy Ste 200, Corona Del Mar, CA 92625Office #2: 2101 East Coast Hwy, Ste 120, Corona Del Mar, CA 92625RIA
BD
CRD#: 43285
CORONA DEL MAR, CA
Current
November 24, 2009 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 2101 East Coast Hwy, Ste 120, Corona Del Mar, CA 92625RIA
BD
CRD#: 43285
Corona Del Mar, CA
Past
December 13, 2001 - October 7, 2009
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
CORONA DEL MAR, CA
Past
November 4, 1998 - December 18, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
November 3, 1992 - November 5, 1998
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
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(10/16/2018)
RR
California(11/24/2009)
IAR
California(7/2/2020)
RR
Delaware(2/8/2023)
RR
Florida(2/8/2023)
RR
Idaho(2/8/2023)
RR
Illinois(2/8/2023)
RR
Nevada(2/8/2023)
RR
New York(1/2/2024)
RR
North Carolina(4/2/2012)
RR
Tennessee(7/22/2025)
RR
Texas(2/8/2023)
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.
