Harold Thomas Hollinger
Professional Summary
Harold Thomas Hollinger is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Newark, Delaware. Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Harold has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
54 years in the financial services industry
Current & Past Employments
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Current Firm
M HOLDINGS SECURITIES, INC.
Contact Information
Main Address
1125 N.w. Couch Street Suite 900, Portland, OR 97209Mailing Address
P.o. Box 2207, Portland, OR 97208-2207Phone Number
(888) 520-6784Established
Oregon since 03/21/1997Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
1,442SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
8,115AUM (Assets Under Management)
$3,206,330,654Disclosures
Regulatory Event
5Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2026 | Cover Page | Report |
| 09/10/2025 | Cover Page | Report |
| 11/13/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
M HOLDINGS SECURITIES, INC.
State Registrations and Notice Filings
(4/27/2026)
(10/17/2000)
(11/16/2006)
(12/8/2017)
(10/17/2000)
(5/10/2023)
(10/23/2000)
(1/13/2012)
(4/3/2025)
(10/17/2000)
(10/17/2000)
(8/28/2025)
(12/16/2020)
(10/17/2000)
(10/17/2000)
(10/17/2000)
(10/24/2000)
(10/17/2000)
(9/6/2002)
(10/17/2000)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Oct 1972SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Harold Thomas Hollinger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Harold Thomas Hollinger's CRS (Customer Relationship Summary).
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