RK
Robert J. Kozloski
M HOLDINGS SECURITIES
Chattanooga, TN 37421
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CRD#: 3060557
RK
Professional summary
Robert John Kozloski II is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Chattanooga, Tennessee.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 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) Evergreen Consulting Inc; 6756 Executive Oak Lane Chattanooga, TN 37421; Member Firm Affiliation; Investment Related; Agent; Sell insurance and investments; 03/01/2021; 100 hours per month; 100 hours per month during trading hours. 2) Executive Oaks HOA; 6756 Executive Oaks Lane, Chattanooga, TN 37421; Overseeing duties for HOA; Not Investment Related; President; Overing seeing property grounds, maintenance and HOA complaints; 10/01/2024; 2 hours per month; 2 hours per month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Robert John Kozloski II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert John Kozloski II'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
March 29, 2004 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 6756 Executive Oak Lane, Chattanooga, TN 37421RIA
BD
CRD#: 43285
Chattanooga, TN
Current
March 6, 2002 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 6756 Executive Oak Lane, Chattanooga, TN 37421RIA
BD
CRD#: 43285
Chattanooga, TN
Past
May 24, 2004 - February 18, 2005
EVERGREEN MANAGEMENT INC
RIA
CRD#: 108286
CHATTANOOGA, TN
Past
October 31, 2001 - February 21, 2002
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
BIRMINGHAM, AL
Past
November 2, 1998 - December 31, 1999
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
October 23, 1998 - November 25, 1998
PIONEER SECURITIES, INC.
BD
CRD#: 38855
CHATTANOOGA, TN
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(2/20/2024)
RR
Colorado(2/20/2024)
RR
Florida(2/20/2024)
RR
Georgia(4/3/2003)
RR
Kentucky(2/20/2024)
RR
Maryland(2/20/2024)
RR
Massachusetts(2/20/2024)
RR
New York(5/31/2007)
RR
North Carolina(12/11/2023)
RR
Tennessee(3/6/2002)
IAR
Tennessee(3/29/2004)
Exams
State Security Law 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)
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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#: 43285Chattanooga, TN 37421TRUST BUT VERIFY
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