Richard Trang
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Trang, who also goes by Tridung Trang, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2021 - October 16, 2025
M HOLDINGS SECURITIES, INC.
December 15, 2021 - October 16, 2025
M HOLDINGS SECURITIES, INC.
November 25, 2011 - December 6, 2021
SORRENTO PACIFIC FINANCIAL, LLC
November 11, 2011 - December 6, 2021
SORRENTO PACIFIC FINANCIAL, LLC
May 13, 2009 - December 14, 2010
SORRENTO PACIFIC FINANCIAL, LLC
May 8, 2007 - December 6, 2021
CUSO FINANCIAL SERVICES, L.P.
January 4, 2007 - December 14, 2010
SORRENTO PACIFIC FINANCIAL, LLC
April 6, 2006 - December 6, 2021
CUSO FINANCIAL SERVICES, L.P.
February 10, 2005 - April 3, 2006
LPL FINANCIAL LLC
November 8, 2000 - February 22, 2005
TD AMERITRADE, INC.
September 14, 1999 - October 18, 2000
FORTA FINANCIAL GROUP, INC.
July 14, 1999 - September 7, 1999
JWGENESIS FINANCIAL GROUP, INC
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
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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.
