HH
Harold T. Hollinger
M HOLDINGS SECURITIES
Newark, DE 19713
Some features on this profile are disabled
CRD#: 248711
HH
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.
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) Newton One, LLC; 131 Continental Drive; Newark, DE 19713; 10/18/00; CEO/Principal; Insurance, LTC, DI, VUL, Consulting, Trust Administration; Investment Related; 160 hours/month; 160 hours/month during business hours; Commissions. 2) Newton One Investments; 131 Continental Drive; Newark, DE 19713; 10/18/00; CEO/Investment Adviser; Investment advisory services; Investment Related; 40 hours/month; 40 hours/month during business hours; Commissions.
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).
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
May 10, 2023 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 131 Continental Dr., Ste 206, Newark, DE 19713RIA
BD
CRD#: 43285
Newark, DE
Current
October 17, 2000 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 131 Continental Dr., Ste 206, Newark, DE 19713RIA
BD
CRD#: 43285
Newark, DE
Past
September 24, 2008 - April 26, 2023
N1 ADVISORS
RIA
CRD#: 147048
NEWARK, DE
Past
September 18, 2000 - May 10, 2011
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
NEWARK, DE
Past
February 16, 2000 - October 30, 2000
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
October 19, 1972 - October 26, 2000
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
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(10/17/2000)
RR
Colorado(11/16/2006)
RR
Connecticut(12/8/2017)
RR
Delaware(10/17/2000)
IAR
Delaware(5/10/2023)
RR
Florida(10/23/2000)
RR
Indiana(1/13/2012)
RR
Kansas(4/3/2025)
RR
Maine(10/17/2000)
RR
Maryland(10/17/2000)
RR
Massachusetts(8/28/2025)
RR
Missouri(12/16/2020)
RR
New Jersey(10/17/2000)
RR
New Mexico(10/17/2000)
RR
New York(10/17/2000)
RR
North Carolina(10/24/2000)
RR
Pennsylvania(10/17/2000)
RR
Tennessee(9/6/2002)
RR
Virginia(10/17/2000)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 10/16/1972
Registered Representative ExaminationSRO 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
