Brian R. Deane
Professional summary
Brian Richard Deane, who also goes by Brian Richard Deane, Brian Deane, is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Phoenix, Arizona.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2003. Brian has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Richard Deane's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 22, 2018 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 5090 N. 40th Street Suite 180, Phoenix, AZ 85018April 28, 2016 - July 5, 2016
WALTON SECURITIES, INC.
May 14, 2015 - March 17, 2016
INNOVATION PARTNERS LLC
January 4, 2011 - February 3, 2014
WALTON SECURITIES, INC.
September 24, 2010 - January 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2010 - January 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2010 - August 4, 2010
VALIC FINANCIAL ADVISORS, INC.
February 22, 2010 - August 4, 2010
VALIC FINANCIAL ADVISORS, INC.
November 21, 2005 - November 11, 2009
CCO CAPITAL, LLC
June 16, 2005 - November 8, 2005
CHASE INVESTMENT SERVICES CORP.
March 29, 2005 - January 18, 2006
BANC ONE SECURITIES CORPORATION
March 28, 2005 - January 18, 2006
BANC ONE SECURITIES CORPORATION
November 19, 2003 - February 7, 2005
EQUITABLE ADVISORS, 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
(1/26/2024)
(1/26/2024)
(1/24/2018)
(10/7/2021)
(9/28/2022)
(1/26/2024)
(1/26/2024)
(1/26/2024)
(9/8/2021)
(10/24/2023)
(1/26/2024)
(1/26/2024)
(1/26/2024)
(9/10/2024)
(1/26/2024)
(1/26/2024)
(8/16/2024)
(1/26/2024)
(5/1/2025)
(1/26/2024)
(9/28/2022)
(1/30/2024)
(1/26/2024)
(1/26/2024)
(1/26/2024)
(1/26/2024)
(3/14/2023)
(7/14/2022)
(7/1/2022)
(1/26/2024)
(10/22/2024)
(1/26/2024)
Exams
FINRA
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.
