SW
Scott C. Wayne
M HOLDINGS SECURITIES
Knoxville, TN 37922
Some features on this profile are disabled
CRD#: 2905614
SW
Professional summary
Scott Charles Wayne is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Knoxville, Tennessee.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Scott has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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)NAME:SCOTT C WAYNE INSURANCE, INV REL:Y ADDR:6425 B BAUM DR KNOXVILLE TN 37919, NATURE:LIFE, PROPERTY/CASUALTY, HEALTH, GROUP LIFE, GROUP HEALTH, NATURE:SALES/AGENT, START:1/1/2010, NO HR/MO:8 NO HR/MO DUR TRADING:0. (2) THE BENEFITS GROUP LLC DBA THE WEALTH BENEFITS GROUP LLC, POSITION: Senior Partner NATURE: M Holdings Member firm INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 40 START DATE: 06/10/2021, ADDRESS: 9700 Westland Dr Ste 103, Knoxville TN 37922, United States, DESCRIPTION: Producer: RIA and RR investment sales and services
CRS (Client Relationship Summary) - RIA
Click below to view Scott Charles Wayne's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Charles Wayne'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
June 16, 2021 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 9700 Westland Dr. Suite 103, Knoxville, TN 37922RIA
BD
CRD#: 43285
Knoxville, TN
Current
June 11, 2021 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 9700 Westland Dr. Suite 103, Knoxville, TN 37922RIA
BD
CRD#: 43285
Knoxville, TN
Past
March 31, 2004 - June 10, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
KNOXVILLE, TN
Past
January 30, 2003 - June 10, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
KNOXVILLE, TN
Past
February 6, 2002 - November 20, 2002
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
July 7, 1997 - August 2, 2001
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Alabama(6/15/2021)
RR
Florida(6/15/2021)
RR
Georgia(6/15/2021)
RR
Michigan(6/15/2021)
RR
Pennsylvania(2/18/2022)
RR
Tennessee(6/11/2021)
IAR
Tennessee(6/16/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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.
Company Information
M HOLDINGS SECURITIES, INC.
CRD#: 43285Knoxville, TN 37922TRUST BUT VERIFY
Monitor Scott Wayne
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
