DB
David W. Bargetzi
M HOLDINGS SECURITIES
HIGHLAND, IL 62249
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CRD#: 4214935
DB
Professional summary
David Wayne Bargetzi, who also goes by Dave Bargetzi, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Highland, Illinois.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Bargetzi
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) Portell Financial Services; 1210 Washington St., Highland, IL 62249; 05/2000; Case Design; Insurance Sales; Investment Related; 160 hours/month; 160 hours/month during business hours; Commissions, Wages/Salary. 2) DBP Wealth Advisory Group LLC; 1007 Broadway, Highland, IL 62249; 12/17/2020; Case Design; Financial Planning; Investment Related; 80 hours/month; 80 hours/month during business hours; Commissions. 3) Lucco Management Company, LLC; 104 Executive Dr., Highland IL 62249; Group Term Insurance; Investment related; Independent Contractor; Data analysis and administration of group term plans; 4/01/2024; 30 hours per month; 30 hours per month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view David Wayne Bargetzi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Wayne Bargetzi'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
February 15, 2012 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 1210 Washington, Highland, IL 62249Office #2: 1007 Broadway, Highland, IL 62249RIA
BD
CRD#: 43285
HIGHLAND, IL
Current
February 15, 2012 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 1007 Broadway, Highland, IL 62249RIA
BD
CRD#: 43285
Highland, IL
Past
July 1, 2005 - February 21, 2012
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
HIGHLAND, IL
Past
July 1, 2005 - February 21, 2012
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
HIGHLAND, IL
Past
June 5, 2003 - June 6, 2003
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
HIGHLAND, IL
Past
June 5, 2003 - July 14, 2005
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
PORTLAND, OR
Past
February 1, 2002 - December 31, 2005
SPECTRUM FINANCIAL INC
RIA
CRD#: 105618
HIGHLAND, IL
Past
March 13, 2001 - June 16, 2003
OSAIC WEALTH, INC.
RIA
CRD#: 23131
HIGHLAND, IL
Past
September 18, 2000 - August 9, 2005
M FINANCIAL SERVICES, INC.
RIA
CRD#: 116280
HIGHLAND, IL
Past
July 17, 2000 - June 16, 2003
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
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
Alabama(2/16/2012)
IAR
Alabama(2/2/2023)
RR
Florida(2/16/2012)
RR
Georgia(2/16/2012)
IAR
Georgia(2/3/2023)
RR
Illinois(2/15/2012)
IAR
Illinois(2/15/2012)
RR
Indiana(2/16/2012)
RR
Kansas(5/17/2017)
RR
Missouri(5/18/2012)
IAR
Missouri(2/2/2023)
RR
New Mexico(12/9/2021)
RR
Pennsylvania(11/10/2017)
RR
Virginia(11/19/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
