KF
Keith R. Fisher
M HOLDINGS SECURITIES
Denver, CO 80237
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CRD#: 4321167
KF
Professional summary
Keith Ryan Fisher is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Denver, Colorado.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Keith has worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Penn Mutual; 600 Dresher Road, Horsham, PA 19044; 04/2004; Agent; Life insurance sales & service; Investment Related; 1 hour/month; 1 hour/month during business hours; Commissions. 2) Wealth Strategies Group; 6455 S. Yosemite St., Suite 425, Greenwood Village, CO 80111; 10/2004; Insurance Broker; Trailing compensation from previous insurance sales, no new business; Not Investment Related; 0 hours/month; 0 hours/month during business hours; Commissions. 3) Rental Properties (various); Not Investment Related; Owner; Duties associated with ownership of a rental property; 12/01/2010; 1 hour per month; 1 hour per month during trading hours. 4) Denver Philharmonic Orchestra Foundation; 1660 North Sherman Street, Denver, CO 80203; 10/2012; Board Member; Authorized to request investment information, no control of accounts; Not Investment Related; 1 hour/month; 0 hours/month during business hours; No compensation. 5) Financial Designs Ltd.; 7979 East Tufts Avenue, Suite 1550, Denver, CO 80237; 01/2013; Principal; Sale and servicing of life insurance policies; Investment related; 200 hours/month, 200 hours/month during business hours; Expense Reimbursement, Ownership, Profits, Commissions, Wages/Salary/Tips. 6) Special Needs Trust; Investment Related; Trustee; Distributions to the beneficiary per the trust guidelines; 06/26/2023; 1 hour per month; 1 hour per month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Ryan Fisher's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith Ryan Fisher'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
August 1, 2013 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 7979 E Tufts Suite 1550, Denver, CO 80237RIA
BD
CRD#: 43285
Denver, CO
Current
August 1, 2013 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 7979 E Tufts Suite 1550, Denver, CO 80237RIA
BD
CRD#: 43285
Denver, CO
Past
May 12, 2004 - August 15, 2013
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
DENVER, CO
Past
May 12, 2004 - August 15, 2013
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
DENVER, CO
Past
October 5, 2001 - May 6, 2004
NEW ENGLAND SECURITIES
RIA
CRD#: 615
DENVER, CO
Past
February 12, 2001 - May 6, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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(2/5/2024)
RR
Alaska(8/1/2013)
RR
Arizona(9/4/2019)
RR
Arkansas(4/25/2025)
RR
California(8/1/2013)
IAR
California(2/1/2023)
RR
Colorado(8/1/2013)
IAR
Colorado(8/1/2013)
RR
Connecticut(11/21/2024)
RR
Florida(10/10/2019)
RR
Georgia(4/25/2025)
RR
Illinois(1/26/2022)
RR
Indiana(4/25/2025)
RR
Iowa(8/1/2013)
RR
Kansas(11/10/2017)
RR
Louisiana(11/21/2024)
RR
Missouri(8/1/2013)
RR
Montana(4/29/2020)
RR
Nebraska(9/4/2019)
RR
Nevada(7/6/2021)
RR
New Hampshire(4/25/2025)
RR
New Jersey(4/25/2025)
RR
New Mexico(4/14/2023)
RR
New York(11/10/2017)
RR
North Carolina(8/1/2013)
RR
Ohio(5/9/2024)
RR
Oklahoma(8/18/2021)
RR
Oregon(8/1/2013)
RR
South Carolina(11/17/2021)
RR
South Dakota(2/5/2024)
RR
Tennessee(11/21/2024)
RR
Texas(11/10/2017)
RR
Utah(6/3/2020)
RR
Virginia(11/10/2017)
RR
Washington(11/7/2018)
RR
Wisconsin(2/5/2024)
RR
Wyoming(11/10/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
