RK
Robert C. Kulle
M HOLDINGS SECURITIES
Westlake Village, CA 91361
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CRD#: 3128207
RK
Professional summary
Robert Charles Kulle JR, who also goes by Chuck Kulle Jr, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Westlake Village, California.
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 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chuck Kulle Jr
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) Capital Architects, LLC; 2816 Townsgate Road, Suite 120, Westlake Village, CA 91361; 05/01/2012; Partner; LLC has never been active; Not Investment Related; 0 hours/month; 0 hours/month during business hours; No compensation. 2) Exit Planning Institute (EPA); https://exit-planning-institute.org/; 09/2020; Board Member; Help build local chapter membership and develop meeting content; Not investment related; 1 hour/month; 0 hours/month during business hours; No compensation. 3) Gallagher; 7818 Big Sky Drive, Suite 112, Madison, WI 53716; 10/2015; Agent; Refer long-term care and disability insurance clients to Alec Herring, help troubleshoot issues related to coverage/renewal; Investment related; 1 hour/month; 1 hour/month during business hours; Commissions. 4) Liden, Nestle, Soled & Associates; 2535 Townsgate Road, Suite 110, Westlake Village, CA 91361; 03/2014; TPA; Provide support for clients that have TPA issues; Investment related; 1 hour/month; 1 hour/month during business hours; Commissions. 5) HERITAGE CAPITAL STRATETGIES, INC.; POSITION: President NATURE: Life insurance and financial services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/15/2016 ADDRESS: 2555 Townsgate Road #105, Westlake Village CA 91361, United States; DESCRIPTION: I am the President of HCS and act as a life insurance agent and registered rep.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Charles Kulle JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Charles Kulle JR'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 15, 2016 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 2555 Townsgate Rd., Ste. 105, Westlake Village, CA 91361RIA
BD
CRD#: 43285
Westlake Village, CA
Current
March 15, 2016 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 2555 Townsgate Rd., Ste. 105, Westlake Village, CA 91361RIA
BD
CRD#: 43285
Westlake Village, CA
Past
April 25, 2012 - March 17, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
WESTLAKE VILLAGE, CA
Past
December 1, 2004 - March 17, 2016
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
WESTLAKE VILLAGE, CA
Past
February 22, 2001 - November 22, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
October 20, 1998 - January 29, 2001
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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
Arizona(12/8/2021)
RR
Arkansas(12/8/2021)
RR
California(3/15/2016)
IAR
California(3/15/2016)
RR
Delaware(10/18/2023)
RR
Florida(12/8/2021)
RR
Hawaii(12/8/2021)
RR
Idaho(12/11/2020)
RR
Indiana(12/8/2021)
RR
Iowa(8/19/2025)
RR
Kentucky(8/19/2025)
RR
Louisiana(5/29/2025)
RR
Maine(12/11/2020)
RR
Maryland(6/24/2021)
RR
Massachusetts(12/8/2021)
RR
Minnesota(12/8/2021)
RR
Missouri(12/14/2021)
RR
Montana(10/3/2022)
RR
Nevada(3/17/2016)
RR
New Jersey(8/19/2025)
RR
New York(3/15/2016)
RR
North Carolina(1/4/2019)
RR
Ohio(1/4/2019)
RR
Oklahoma(9/7/2021)
RR
Pennsylvania(1/4/2019)
RR
South Carolina(12/8/2021)
RR
South Dakota(12/10/2021)
RR
Tennessee(8/19/2025)
RR
Texas(3/15/2016)
RR
Utah(12/8/2021)
RR
Virginia(3/15/2016)
RR
Washington(6/17/2021)
RR
Wyoming(10/18/2023)
Exams
State Security Law Exam
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.
Company Information
M HOLDINGS SECURITIES, INC.
CRD#: 43285Westlake Village, CA 91361TRUST BUT VERIFY
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