Richard J. Chaffee
Professional summary
Richard Johnson Chaffee JR is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Minnetonka, Minnesota.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Richard has worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Johnson Chaffee JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Johnson Chaffee JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 5, 2013 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 11100 Wayzata Blvd Ste 220, Minnetonka, MN 55305October 2, 2009 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 11100 Wayzata Blvd Ste 220, Minnetonka, MN 55305June 14, 2012 - November 4, 2013
M HOLDINGS SECURITIES, INC.
July 18, 2008 - October 2, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 15, 2000 - June 19, 2008
M HOLDINGS SECURITIES, INC.
August 30, 1993 - September 18, 2000
WS GRIFFITH SECURITIES, INC.
May 10, 1982 - August 30, 1993
VP DISTRIBUTORS LLC
February 24, 1977 - April 23, 1982
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
February 24, 1977 - April 23, 1982
MONY SECURITIES CORPORATION
March 27, 1973 - March 5, 1977
HORNOR, TOWNSEND & KENT, LLC
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
(2/1/2024)
(9/17/2024)
(2/20/2018)
(2/16/2018)
(10/2/2009)
(11/5/2013)
(7/11/2011)
(6/4/2021)
(2/15/2018)
(3/4/2011)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/19/1973
Registered 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.
