Rohe Levy
Professional summary
Rohe Levy, who also goes by Roy Levy, is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in San Diego, California.
Rohe is registered as a RR (Registered Representative) and started their career in finance in 2000. Rohe has worked at 9 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rohe Levy's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 15, 2025 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 3131 Camino Del Rio North Suite 415, San Diego, CA 92108January 5, 2024 - August 25, 2025
THE LEADERS GROUP, INC.
November 16, 2011 - December 4, 2012
P.J. ROBB VARIABLE, LLC
May 19, 2004 - December 3, 2009
LPL FINANCIAL LLC
May 19, 2004 - December 3, 2009
LPL FINANCIAL LLC
April 15, 2004 - May 27, 2004
TOWER SQUARE SECURITIES, INC.
April 15, 2004 - May 27, 2004
TOWER SQUARE SECURITIES, INC.
October 16, 2003 - February 24, 2004
MSI FINANCIAL SERVICES, INC.
September 29, 2003 - February 24, 2004
METROPOLITAN LIFE INSURANCE COMPANY
September 29, 2003 - February 24, 2004
MSI FINANCIAL SERVICES, INC.
February 20, 2003 - September 30, 2003
SECURIAN FINANCIAL SERVICES, INC.
April 17, 2001 - September 30, 2003
SECURIAN FINANCIAL SERVICES, INC.
September 7, 2000 - March 22, 2001
MONY SECURITIES CORPORATION
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
(8/15/2025)
Exams
Series 6TO
Date: 1/5/2024
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current 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.
