JC
James A. Cheney
M HOLDINGS SECURITIES
Estero, FL
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CRD#: 45355
JC
Professional summary
James Allen Cheney, who also goes by Jim Cheney, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Estero, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. James has worked at 5 firms and has passed the Series 63, Series 6TO, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Cheney
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) EVERGREEN CONSULTING INC.; 1200 PREMIER DRIVE, SUITE 210, CHATTANOOGA, TN 37421; 01/1990; CHAIRMAN; INSURANCE SALES, MANAGEMENT DUTIES; INVESTMENT RELATED; 20 HOURS/MONTH; 20 HOURS/MONTH DURING BUSINESS HOURS; OWNERSHIP. 2) INDIGO ISLE HOA; 9301 INDIGO ISLE CT. UNIT 201, ESTERO FL 34135; HOA; NOT INVESTMENT RELATED; POOL MANAGER; VOLUNTEER; 06/01/2024; 5 HOURS PER MONTH; 5 HOURS DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view James Allen Cheney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Allen Cheney'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
March 8, 2004 - Present
M HOLDINGS SECURITIES, INC.
RIA
BD
CRD#: 43285
Estero, FL
Current
April 5, 2001 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 6756 Executive Oak Lane, Chattanooga, TN 37421RIA
BD
CRD#: 43285
Chattanooga, TN
Past
January 12, 1996 - April 3, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
May 25, 1995 - January 18, 1996
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
October 20, 1980 - June 23, 1995
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
April 3, 1973 - June 23, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
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
California(12/6/2006)
RR
Colorado(2/20/2024)
RR
Florida(2/20/2024)
RR
Georgia(4/5/2001)
RR
Kentucky(2/20/2024)
RR
Maryland(2/20/2024)
RR
Minnesota(2/8/2012)
RR
New Jersey(4/11/2002)
RR
New York(4/5/2001)
RR
North Carolina(1/8/2003)
RR
Ohio(1/3/2003)
RR
Tennessee(4/5/2001)
IAR
Tennessee(3/8/2004)
RR
Texas(2/20/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/27/1973
Registered Representative ExaminationSRO 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.
