David J. Klein

M HOLDINGS SECURITIES

Glen Rock, NJ 07452

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CRD#: 4343839

Professional summary

David James Klein, CFP® is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Glen Rock, New Jersey.

David is registered as a RR (Registered Representative) and started their career in finance in 2001. David has worked at 9 firms and has passed the Series 63, SIE, Series 6TO 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 David James Klein'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®

CFP^®

Certified Financial Planner

Experience

Current

March 15, 2023 - Present

M HOLDINGS SECURITIES, INC.

Office #1: 55 Harristown Road Suite 102, Glen Rock, NJ 07452

RIA

CRD#: 43285

Glen Rock, NJ

Past

July 26, 2021 - January 27, 2023

P.J. ROBB VARIABLE, LLC

CRD#: 38339

MEMPHIS, TN

Past

November 16, 2015 - August 8, 2016

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

NEW YORK CITY, NY

Past

August 21, 2014 - October 30, 2015

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

January 3, 2013 - July 14, 2014

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

October 9, 2012 - January 3, 2013

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

September 19, 2005 - September 24, 2007

CONSECO EQUITY SALES, INC.

CRD#: 4125

CARMEL, IN

Past

January 1, 2005 - September 9, 2005

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

May 25, 2001 - January 1, 2005

INTERLINK SECURITIES CORP.

CRD#: 30505

WOODLAND HILLS, CA

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

California
(10/16/2025)

Connecticut
(10/17/2025)

Delaware
(10/16/2025)

Florida
(3/16/2023)

Massachusetts
(10/17/2025)

New Jersey
(3/17/2023)

New York
(10/27/2025)

Texas
(10/20/2025)

Utah
(10/16/2025)

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: 8/7/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/26/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6TO

Date: 7/17/2021

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 6

Date: 10/8/2012

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

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.

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Firm Stability Insights

David J. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David James Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

P.J. ROBB VARIABLE, LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

THE LEADERS GROUP, INC.

PRUCO SECURITIES, LLC.

HIMCO DISTRIBUTION SERVICES COMPANY

CONSECO EQUITY SALES, INC.

VOYA FINANCIAL ADVISORS, INC.

INTERLINK SECURITIES CORP.

Primary Firm SEC Registration

M HOLDINGS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/7/2021

SIE

Date: 7/26/2021

Series 6TO

Date: 7/17/2021

Series 6

Date: 10/8/2012

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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