Richard L. Harris
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.
Richard Lee Harris, who also goes by Richard L Harris, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 9 firms and has passed the Series 63, Series 65, Series 6TO, 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
April 12, 2024 - May 30, 2025
M HOLDINGS SECURITIES, INC.
September 9, 2011 - January 16, 2015
KESTRA INVESTMENT SERVICES, LLC
September 9, 2011 - January 16, 2015
KESTRA INVESTMENT SERVICES, LLC
August 11, 2009 - August 30, 2011
SECURITIES AMERICA ADVISORS, INC.
August 11, 2009 - August 30, 2011
SECURITIES AMERICA, INC.
July 15, 2008 - April 29, 2009
OGILVIE SECURITY ADVISORS CORPORATION
March 19, 2001 - April 29, 2009
OGILVIE SECURITY ADVISORS CORPORATION
September 20, 1999 - April 9, 2001
KESTRA INVESTMENT SERVICES, LLC
November 6, 1996 - December 4, 2000
EQUITY SERVICES, INC.
July 7, 1994 - June 6, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 9, 1994 - September 22, 1999
OSAIC WEALTH, INC.
August 19, 1976 - March 11, 1994
EQUITY SERVICES, INC.
August 14, 1970 - February 19, 1972
GUARDIAN INVESTOR SERVICES LLC
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: 4/12/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 8/4/1976
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.
