DF
David A. Fain
M HOLDINGS SECURITIES
Seattle, WA 98101
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CRD#: 4579798
DF
Professional summary
David A Fain, CFP®, who also goes by David A Fain, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Seattle, Washington.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. David has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David A Fain
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) Kline Galland; www.klinegalland.org; 6/1/2017; Board Member; Serve as a member of the Board of Directors; Not Investment Related; 10 hours/month; 5 hours/month during business hours; No Compensation. 2) AssuredPartners of Washington LLC DBA Assured Partners MCM; 1325 4th Ave Suite 2100 Seattle, WA 98101; Member Firm affiliation; Investment Related; Advisor, Serving clients and sourcing new ones; 08/01/2014; 160 hours per month; 160 hours per month during trading hours. 3) Seattle Children's Legacy Council; PO Box 5371 Seattle, WA 98145; Hospital; Not Investment Related; Council Member; Advice on charitable planning and strategize on outreach activities; 02/15/2015; 4 hours per month; 4 hours per month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view David A Fain's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David A Fain'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®
Experience
Current
August 28, 2014 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 1325 4th Avenue Suite 2100, Seattle, WA 98101RIA
BD
CRD#: 43285
Seattle, WA
Current
August 28, 2014 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 1325 4th Avenue Suite 2100, Seattle, WA 98101RIA
BD
CRD#: 43285
Seattle, WA
Past
November 16, 2012 - August 7, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
SEATTLE, WA
Past
December 3, 2002 - August 7, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
SEATTLE, WA
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
Arizona(8/28/2014)
RR
California(8/28/2014)
IAR
Colorado(2/1/2023)
RR
Connecticut(8/28/2014)
RR
Florida(8/28/2014)
RR
Idaho(8/28/2014)
IAR
Idaho(9/5/2024)
RR
Illinois(8/28/2014)
IAR
Illinois(2/8/2023)
RR
Kansas(8/13/2024)
RR
Missouri(8/28/2014)
RR
Nebraska(8/28/2014)
RR
Oklahoma(8/13/2024)
RR
Texas(9/29/2014)
RR
Virginia(8/28/2014)
RR
Washington(8/28/2014)
IAR
Washington(8/28/2014)
RR
Wisconsin(8/28/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO 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.
