MT
Mark T. Tate
M HOLDINGS SECURITIES
Brookfield, WI 53045
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CRD#: 2453874
MT
Professional summary
Mark Thomas Tate, ChFC®, CLU® is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Brookfield, Wisconsin.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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) Chernoff Diamond/USI; 100 N. Corporate Dr., Suite 100, Brookfield, WI 53045; 07/2020; Consultant; Insurance planning, sales and service; Investment Related; 160 hours/month; 160 hours/month during business hours; Commissions. 2) CHILIMANIA; POSITION: Board Member NATURE: Fundraising for local scholarships and other non-profits. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023; ADDRESS: 1007 N. Main St., Edgerton WI 53534, United States; DESCRIPTION: Organize the annual event, coordinate volunteers, oversee marketing, determine non-profits who will receive profits after the event. (Food pantries, sports groups, school programs,...) 3) Youth Life Builders of Southern Wisconsin; 657 Liquori Road Edgerton, WI 53534; Scholarship Organization; Not Investment Related; President; Provide leadership, help develop marketing material, conduct quarterly meetings and apply for grants and generate personal donations to support funding summer scholarships for students grades; 12/01/2023; 2 hours per month; 0 hours per month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Thomas Tate's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Thomas Tate'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 25, 2021 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 100 N. Corporate Drive Suite 100, Brookfield, WI 53045RIA
BD
CRD#: 43285
Brookfield, WI
Current
October 14, 2020 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 100 N. Corporate Drive Suite 100, Brookfield, WI 53045RIA
BD
CRD#: 43285
Brookfield, WI
Past
February 27, 2017 - September 10, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
MADISON, WI
Past
February 27, 2017 - September 10, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
MADISON, WI
Past
May 17, 2011 - February 21, 2017
ASSOCIATED INVESTMENT SERVICES, INC.
RIA
CRD#: 1464
MADISON, WI
Past
May 17, 2011 - February 21, 2017
ASSOCIATED INVESTMENT SERVICES, INC.
BD
CRD#: 1464
MADISON, WI
Past
October 5, 2009 - June 14, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
WAUKESHA, WI
Past
February 28, 2008 - February 12, 2009
P.J. ROBB VARIABLE, LLC
BD
CRD#: 38339
MADISON, WI
Past
May 7, 2001 - December 31, 2007
UNDERWRITERS EQUITY CORPORATION
BD
CRD#: 36537
MADISON, WI
Past
February 22, 1994 - April 20, 2001
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Florida(12/1/2021)
RR
Minnesota(10/29/2020)
RR
New York(10/14/2020)
RR
Wisconsin(10/29/2020)
IAR
Wisconsin(2/25/2021)
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.
Company Information
M HOLDINGS SECURITIES, INC.
CRD#: 43285Brookfield, WI 53045TRUST BUT VERIFY
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