KF
Kelly S. Fong
M HOLDINGS SECURITIES
San Jose, CA 95134
Some features on this profile are disabled
CRD#: 2468087
KF
Professional summary
Kelly Scott Fong is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in San Jose, California.
Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Kelly has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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) Wellspring Insurance Network; 2635 North First Street, Suite 201, San Jose, CA 95134; 10/2015; Agent; Consulting, advice and sales for fixed insurance; Investment Related; 160 hours/month; 160 hours/month during business hours; Commissions. 2) Kelly Fong - Culinary Instructor; 1171 26th Avenue, Sacramento, CA 95822; 03/2007; Instructor; Teach cooking classes at various retail locations; Not Investment Related; 5 hours/month; 0 hours/month during business hours; Fee Income.
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Scott Fong's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kelly Scott Fong'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
October 16, 2015 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 2635 N First St. #201, San Jose, CA 95134RIA
BD
CRD#: 43285
San Jose, CA
Current
October 16, 2015 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 1125 N.w. Couch Street Suite 900, Portland, OR 97209RIA
BD
CRD#: 43285
Portland, OR
Past
August 13, 2008 - October 20, 2015
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SAN JOSE, CA
Past
August 13, 2008 - October 20, 2015
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SAN JOSE, CA
Past
August 14, 2003 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
BD
CRD#: 14068
MILPITAS, CA
Past
July 10, 2003 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
RIA
CRD#: 14068
MILPITAS, CA
Past
August 13, 1996 - August 14, 2001
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
January 16, 1996 - August 5, 1997
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
May 6, 1994 - May 25, 1994
REYNOLDS KENDRICK STRATTON, INC.
BD
CRD#: 10414
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
California(10/16/2015)
IAR
California(10/16/2015)
RR
Hawaii(10/28/2015)
RR
Oklahoma(5/19/2020)
RR
Texas(3/11/2016)
Exams
State Security Law Exam
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.
