Anthony E. Bare
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.
Anthony Eugene Bare was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1996. Anthony had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2019 - January 12, 2021
M HOLDINGS SECURITIES, INC.
November 11, 2019 - January 12, 2021
M HOLDINGS SECURITIES, INC.
April 10, 2013 - July 25, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 25, 2011 - July 25, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 7, 2007 - March 2, 2010
FIRST CITIZENS INVESTOR SERVICES, INC.
August 7, 2007 - March 2, 2010
FIRST CITIZENS INVESTOR SERVICES, INC.
March 14, 2005 - June 18, 2007
WELLS FARGO CLEARING SERVICES, LLC
February 25, 2005 - December 14, 2005
WELLS FARGO CLEARING SERVICES, LLC
December 16, 2003 - April 2, 2004
STATE FARM VP MANAGEMENT CORP.
July 17, 2003 - October 28, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
June 16, 2003 - October 28, 2003
IDS LIFE INSURANCE COMPANY
June 16, 2003 - October 28, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
May 30, 2002 - April 24, 2003
LPL FINANCIAL LLC
April 9, 1999 - May 31, 2002
USALLIANZ SECURITIES, INC.
June 1, 1996 - May 8, 1998
WALNUT STREET SECURITIES, INC.
May 14, 1996 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
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
Current 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.
