CC
Clinton J. Crocker
M HOLDINGS SECURITIES
Charlotte, NC 28211
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CRD#: 2843840
CC
Professional summary
Clinton Judd Crocker, CFP®, CLU®, who also goes by Clint Crocker, Clinton J Crocker, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Charlotte, North Carolina.
Clinton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Clinton has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Clint Crocker | Clinton J Crocker
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) [CUSTOMER NAME] IRREVOCABLE TRUST; 5633 FAIRWAY VIEW DRIVE, CHARLOTTE, NC 28277, 08/01/2008; TRUSTEE; TRUSTEE RESPONSIBILITIES; INVESTMENT RELATED (VARIABLE POLICY); 1 HOUR/MONTH; 1 HOUR/MONTH DURING BUSINESS ACTIVITY; NO COMPENSATION. 2) JM BARRY & ASSOCIATES LLC DBA BARRY, EVANS, JOSEPHS & SNIPES; 1100 KENILWORTH AVE SUITE 110 CHARLOTTE, NC 28204; MEMBER FIRM AFFILIATION; INVESTMENT RELATED; CEO; SALES AND FIRM LEADERSHIP; 02/01/1999; 165 HOURS PER MONTH; 165 HOURS PER MONTH DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Clinton Judd Crocker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Clinton Judd Crocker'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®
CFP®
Start date: 2001
Experience
Current
July 31, 2018 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 6525 Carnegie Boulevard Suite 402, Charlotte, NC 28211RIA
BD
CRD#: 43285
Charlotte, NC
Current
November 6, 2008 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 6525 Carnegie Boulevard Suite 402, Charlotte, NC 28211RIA
BD
CRD#: 43285
Charlotte, NC
Past
February 21, 2001 - August 19, 2008
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
BD
CRD#: 35419
CHARLOTTE, NC
Past
February 3, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
February 3, 1997 - June 24, 1999
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
District of Columbia(12/23/2024)
RR
Florida(11/25/2008)
RR
Georgia(11/26/2024)
RR
Maryland(1/23/2025)
RR
New Jersey(7/20/2022)
RR
North Carolina(11/13/2008)
IAR
North Carolina(7/31/2018)
RR
South Carolina(11/14/2008)
RR
Texas(9/5/2024)
RR
Virginia(6/3/2020)
Exams
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.
