DB
Douglas M. Boschert
M HOLDINGS SECURITIES
Covington, KY 41011
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CRD#: 2638667
DB
Professional summary
Douglas Mark Boschert is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Covington, Kentucky.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Douglas has worked at 3 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) JD Bullfrog, LLC; 414 Walnut Street, Suite 1220, Cincinnati, OH 45202; 09/07/2001; Owner; Real Estate; Not investment related; 2 hours/month; 2 hours/month during business hours; Passive income. 2) 2354 Warsaw, LLC; 414 Walnut Street, Suite 1220, Cincinnati, OH 45202; 09/09/2005; Owner; Real Estate, Not Investment Related; 2 hours/month; 2 hours/month during business hours; Passive income. 3) Sunrise Treatment Center; 6460 Harrison Ave, Cincinnati, OH 45247; 2013; Owner; Referral of investment opportunity; Investment related; 10 hours/month; 5 hours/month during business hours; Referrals or Referral fees 4) Blue Bagger, Inc.; 40 West 5th Street, Covington, KY 44011; 12/15/2018; Owner; Consulting; Not investment related; 2 hours/month; 1 hour/month during business hours; Ownership, Passive income, Profits. 5) Friends of Lauren Hill Memorial Park; 18128 Horizon way, Lawrenceburg, IN 47025; 01/2020; Treasurer; Help founders with financial matters; Not investment related; 2 hours/month; 2 hours/month during business hours; No compensation. 6) 40 West 5th Street, LLC; 40 West 5th Street, Covington, KY 44011; 2012; Owner; Entity owns building where Evergreen Advisors is located; Not investment related; 1 hour/month; 0 hours/month during business hours; Ownership. 7) Evergreen Advisors, Inc.; 40 W 5th Street, Covington, KY 41011; 12/26/2002; President; Financial Services including Financial Planning, Investment Management, and more; Investment Related; 160 hours/month; 160 hours/month during business hours; Expense Reimbursement, Ownership, Passive Income, Profits, Commissions, Wages/Salary/Tips, Referrals or Referral Fees. 8) Elder High School Investment Committee; 3900 Vincent Ave, Cincinnati, OH 45205; Private High School Investment Committee; Investment Related; Committee Member; This committee oversees the managers that run the endowment. The endowment is managed by outside managers and not by the investment committee; 5/01/2025; 1 hr/mo; 1hr/mo during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Mark Boschert's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Mark Boschert'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
December 16, 2002 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 40 W. 5th St., Covington, KY 41011RIA
BD
CRD#: 43285
Covington, KY
Current
December 6, 2002 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 40 W. 5th St., Covington, KY 41011RIA
BD
CRD#: 43285
Covington, KY
Past
September 19, 2002 - December 20, 2002
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CINCINNATI, OH
Past
April 28, 1997 - December 20, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 6, 1995 - May 9, 1997
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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
Arizona(1/18/2024)
RR
California(1/12/2007)
IAR
California(2/1/2023)
RR
Colorado(1/9/2024)
RR
Connecticut(12/1/2021)
RR
Delaware(3/25/2014)
RR
Florida(12/6/2002)
RR
Georgia(7/19/2012)
RR
Illinois(10/4/2021)
RR
Indiana(12/6/2002)
IAR
Indiana(2/1/2023)
RR
Iowa(8/26/2021)
RR
Kentucky(12/6/2002)
IAR
Kentucky(9/28/2012)
RR
Massachusetts(3/4/2021)
RR
Michigan(11/1/2010)
RR
Minnesota(1/10/2024)
RR
New Hampshire(1/10/2024)
RR
New Jersey(11/19/2020)
RR
New Mexico(8/26/2021)
RR
New York(5/18/2021)
RR
North Carolina(11/9/2017)
RR
Ohio(12/6/2002)
IAR
Ohio(2/2/2023)
RR
Pennsylvania(11/8/2017)
RR
South Carolina(12/6/2002)
RR
Texas(2/28/2007)
RR
Vermont(1/9/2024)
RR
Virginia(8/26/2021)
RR
Wyoming(8/30/2021)
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.
Company Information
M HOLDINGS SECURITIES, INC.
CRD#: 43285Covington, KY 41011TRUST BUT VERIFY
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