Scott J. Coppeto
Professional summary
Scott J Coppeto, CFP®, CLU®, who also goes by Scott Joseph Coppeto, is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1997. Scott has worked at 13 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott J Coppeto's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 24, 2025 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 60 E 42nd St. Floor 44, New York, NY 10165November 6, 2017 - December 31, 2019
TLG ADVISORS, INC.
January 27, 2016 - March 12, 2025
P.J. ROBB VARIABLE, LLC
February 24, 2014 - November 9, 2015
TLG ADVISORS, INC.
February 2, 2012 - November 9, 2015
THE LEADERS GROUP, INC.
June 1, 2009 - February 8, 2012
MORGAN STANLEY
June 1, 2009 - February 8, 2012
MORGAN STANLEY
September 6, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 6, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 29, 2005 - June 7, 2007
WOODBURY FINANCIAL SERVICES, INC.
November 22, 2005 - June 7, 2007
WOODBURY FINANCIAL SERVICES, INC.
October 12, 2005 - June 8, 2007
HIMCO DISTRIBUTION SERVICES COMPANY
June 11, 2003 - December 15, 2004
1717 CAPITAL MANAGEMENT COMPANY
April 3, 2003 - December 15, 2004
1717 CAPITAL MANAGEMENT COMPANY
April 1, 2002 - October 3, 2002
CURTIS FINANCIAL ADVISORS, LLC
March 6, 2002 - March 19, 2003
CAP PRO BROKERAGE SERVICES, INC.
December 9, 2000 - February 5, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 1997 - October 11, 1999
PRUCO SECURITIES, LLC.
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
(3/24/2025)
(3/24/2025)
Exams
FINRA
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.
