Gregory H. Brown
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.
Gregory Horton Brown, who also goes by Greg Brown, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1971. Gregory had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2013 - May 13, 2015
M HOLDINGS SECURITIES, INC.
October 15, 2013 - May 13, 2015
M HOLDINGS SECURITIES, INC.
October 17, 2011 - June 26, 2012
LPL FINANCIAL LLC
October 14, 2011 - June 26, 2012
LPL FINANCIAL LLC
January 9, 2001 - September 2, 2011
M HOLDINGS SECURITIES, INC.
November 20, 2000 - September 2, 2011
M HOLDINGS SECURITIES, INC.
July 7, 1992 - October 19, 2000
MUTUAL SERVICE CORPORATION
April 2, 1990 - December 31, 1991
MUTUAL SERVICE CORPORATION
January 15, 1986 - December 18, 1989
JOHN HANCOCK DISTRIBUTORS LLC
October 19, 1971 - December 28, 1984
1717 CAPITAL MANAGEMENT COMPANY
September 16, 1971 - November 19, 1971
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
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 1
Date: 9/10/1971
Registered Representative 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.
