Rebecca K. Ferguson

M HOLDINGS SECURITIES

Denver, CO 80237

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CRD#: 4452726

Professional summary

Rebecca Katherine Ferguson, who also goes by Rebecca Katherine Braun, is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Denver, Colorado.

Rebecca is registered as a RR (Registered Representative) and started their career in finance in 2001. Rebecca has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rebecca Katherine Braun

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 Rebecca Katherine Ferguson'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®

None

Experience

Current

December 6, 2022 - Present

M HOLDINGS SECURITIES, INC.

Office #1: 7979 E Tufts Suite 1550, Denver, CO 80237

RIA

CRD#: 43285

Denver, CO

Past

October 25, 2019 - December 2, 2022

FIRST PALLADIUM, LLC

CRD#: 289822

FORT WAYNE, IN

Past

December 11, 2014 - December 4, 2017

MERCAP SECURITIES, LLC

CRD#: 156607

ATLANTA, GA

Past

August 20, 2010 - December 31, 2012

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

INDIANAPOLIS, IN

Past

September 4, 2009 - May 28, 2010

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

INDIANAPOLIS, IN

Past

June 24, 2005 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

INDIANAPOLIS, IN

Past

December 6, 2002 - May 25, 2005

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

June 5, 2002 - December 2, 2002

ATHENE SECURITIES, LLC

CRD#: 36867

WEST DES MOINES, IA

Past

November 16, 2001 - February 26, 2002

ATHENE SECURITIES, LLC

CRD#: 36867

WEST DES MOINES, IA

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

Colorado
(12/6/2022)

Indiana
(12/6/2022)

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: 5/19/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/4/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/15/2001

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

Rebecca K. Ferguson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rebecca Katherine Ferguson's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST PALLADIUM, LLC

MERCAP SECURITIES, LLC

VOYA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, INC.

ONEAMERICA SECURITIES, INC.

ATHENE SECURITIES, LLC

ATHENE SECURITIES, LLC

Primary Firm SEC Registration

M HOLDINGS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/19/2003

SIE

Date: 12/4/2017

Series 6

Date: 11/15/2001

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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