Konrad M. Schroder
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Konrad Martin Schroder, who also goes by Konrad M Schroder, was a registered financial professional .
Konrad is a previously registered financial professional and started their career in finance in 2001. Konrad had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2016 - November 1, 2018
M HOLDINGS SECURITIES, INC.
November 22, 2016 - October 23, 2018
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
November 21, 2016 - October 23, 2018
FIRST REPUBLIC SECURITIES COMPANY, LLC
June 6, 2013 - December 8, 2016
PARK AVENUE SECURITIES LLC
May 14, 2013 - December 8, 2016
PARK AVENUE SECURITIES LLC
August 10, 2006 - December 31, 2012
LPL FINANCIAL LLC
August 10, 2006 - December 31, 2012
LPL FINANCIAL LLC
May 17, 2005 - August 1, 2006
FINANCIAL DESIGNS LTD.
February 22, 2005 - September 25, 2006
INDEPENDENT FINANCIAL GROUP, LLC
January 4, 2005 - March 1, 2005
FIRST COMMAND BANK
December 6, 2001 - March 1, 2005
FIRST COMMAND BROKERAGE SERVICES, INC.
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
Exams
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.
