PS
Preston M. Sartelle
M HOLDINGS SECURITIES
Vestavia, AL 35242
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CRD#: 3078233
PS
Professional summary
Preston Michael Sartelle, CFA, who also goes by Preston M Sartelle, Preston Sartelle, is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Vestavia, Alabama.
Preston is registered as a RR (Registered Representative) and started their career in finance in 2005. Preston has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Preston M Sartelle | Preston Sartelle
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Preston Michael Sartelle'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®
Experience
Current
February 1, 2019 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 1950 Stonegate Drive Suite 230, Vestavia, AL 35242Office #2: 675 Bering Drive Suite 500, Houston, TX 77057Office #3: 850 Shades Creek Parkway Suite 300, Birmingham, AL 35209RIA
BD
CRD#: 43285
Vestavia, AL
Past
January 4, 2007 - February 7, 2019
FNBB CAPITAL MARKETS, LLC
BD
CRD#: 132091
BIRMINGHAM, AL
Past
August 12, 2005 - December 31, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
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.
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(2/1/2019)
RR
Arizona(8/25/2020)
RR
California(8/25/2020)
RR
Colorado(7/31/2024)
RR
Louisiana(8/25/2020)
RR
Mississippi(8/25/2020)
RR
Nevada(2/1/2023)
RR
New Jersey(7/29/2021)
RR
New Mexico(9/8/2022)
RR
Ohio(10/18/2021)
RR
Oklahoma(8/25/2020)
RR
South Carolina(2/14/2023)
RR
South Dakota(10/31/2023)
RR
Tennessee(4/25/2023)
RR
Texas(8/25/2020)
RR
Utah(4/8/2024)
RR
Virginia(9/12/2024)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
M HOLDINGS SECURITIES, INC.
CRD#: 43285Vestavia, AL 35242TRUST BUT VERIFY
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