Samuel S. Zacharias
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.
Samuel Socrates Zacharias, who also goes by Sam Zacharias, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1972. Samuel had worked at 9 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2013 - July 13, 2017
M HOLDINGS SECURITIES, INC.
June 20, 2000 - July 13, 2017
M HOLDINGS SECURITIES, INC.
June 15, 1999 - December 31, 2004
GATEWAY FINANCIAL WEALTH MANAGEMENT LP
January 22, 1999 - January 27, 1999
NEWEDGE SECURITIES, LLC
January 28, 1993 - September 21, 1993
DJM FINANCIAL ADVISORY SERVICES, INC.
February 15, 1984 - December 31, 1991
RUSSELL INVESTMENTS, INC.
January 4, 1982 - June 7, 1988
T. BOB INVESTMENTS, INC.
November 5, 1976 - March 17, 1978
PAUL REVERE EQUITY SALES COMPANY (THE)
November 5, 1976 - July 26, 1984
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
March 27, 1972 - June 22, 2000
HORNOR, TOWNSEND & KENT, 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
Exams
Series 1
Date: 3/20/1972
Registered Representative ExaminationCurrent 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.
