Douglas D. Doughty

M HOLDINGS SECURITIES

Houston, TX 77019

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CRD#: 3215832

Professional summary

Douglas David Doughty is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Houston, Texas.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1999. Douglas has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas David Doughty's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 2, 2013 - Present

M HOLDINGS SECURITIES, INC.

Office #1: 2001 Kirby Drive, Ste 990, Houston, TX 77019

RIA

CRD#: 43285

Houston, TX

Past

March 5, 2010 - December 5, 2013

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

HOUSTON, TX

Past

September 3, 2008 - July 8, 2009

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

Past

April 6, 2005 - March 28, 2008

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

THE WOODLANDS, TX

Past

January 7, 2004 - December 31, 2004

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

June 24, 2002 - December 31, 2003

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

May 18, 1999 - June 18, 2002

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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".

M HOLDINGS SECURITIES, INC.

CRD#: 43285 / SEC#: 801-57304, 8-50214

RIA

Registered Investment Advisory firm - SEC (3/14/2000 Approved)

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.

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

Texas
(12/2/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/18/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/17/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

M HOLDINGS SECURITIES, INC.

CRD#: 43285 / SEC#: 801-57304, 8-50214

RIA

Registered Investment Advisory firm - SEC (3/14/2000 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

M HOLDINGS SECURITIES, INC. FORM 2A ADV FIRM BROCHURE (10/2/2025)

WEALTHPURSUIT WRAP FEE PROGRAMS BROCHURE (10/2/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/10/2025	Cover Page	Report
11/13/2024	Cover Page	Report
08/28/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Douglas D. Doughty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas David Doughty's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

AMERICAN GENERAL EQUITY SERVICES CORPORATION

PACIFIC SELECT DISTRIBUTORS, LLC

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

M HOLDINGS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/18/1999

SIE

Date: 10/1/2018

Series 6

Date: 5/17/1999

FINRA

Current Firm

M HOLDINGS SECURITIES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

M HOLDINGS SECURITIES, INC.

TRUST BUT VERIFY

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