MC
Michael W. Clark
M HOLDINGS SECURITIES
Northfield, IL 60093
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CRD#: 47737
MC
Professional summary
Michael Wayne Clark, CFP®, who also goes by Mike Clark, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Northfield, Illinois.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Michael has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Retirement Planning
Health Care
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Are you a "fiduciary"?
Yes
Aliases
Mike Clark
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) Our Lady of Peace Parish; 709 Plainfield Road, Darien, IL 60561; 10/1/2013; Member, Finance Council; Not Investment Related; 4 hours/month; 0 hours/month during business hours; No Compensation. 2) Diocesan Finance Council; 16555 Weber Road, Crest Hill, IL 60403; 11/1/2018; Council Member; Volunteer advisory council regarding financial matters pertaining to the diocese; Investment Related; 6 hours/month; 6 hours/month during business hours; No Compensation. 3) M.W. Clark & Company; 1 Northfield Plaza, Suite 430, Northfield, IL 60093; 5/1/1996; President; Sales and service of non-variable products; Investment Related; 100 hours/month; 100 hours/month during business hours; Ownership, Commissions. 4) Jamieson Financial Services, LLC; 1 Northfield Plaza, Suite 430, Northfield, IL 60093; 10/01/2021; Marketer; Sales and service of non-registered insurance products; Investment Related; 100 hours/month; 100 hours/month during business hours; Commissions.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Wayne Clark's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Wayne Clark'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®
CFP®
Start date: 1989
Experience
Current
April 30, 2001 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 1 Northfield Plaza Suite 430, Northfield, IL 60093RIA
BD
CRD#: 43285
Northfield, IL
Current
March 30, 2001 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 1 Northfield Plaza Suite 430, Northfield, IL 60093RIA
BD
CRD#: 43285
Northfield, IL
Past
October 13, 1994 - April 3, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
February 9, 1982 - December 19, 1989
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
November 21, 1972 - December 19, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
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
IAR
Arizona(6/1/2023)
RR
California(4/26/2013)
IAR
California(9/3/2024)
RR
Colorado(2/9/2018)
IAR
Colorado(2/1/2023)
RR
Connecticut(10/24/2023)
IAR
Florida(2/2/2023)
RR
Georgia(4/9/2024)
IAR
Georgia(9/5/2024)
RR
Hawaii(4/25/2013)
RR
Illinois(3/30/2001)
IAR
Illinois(4/30/2001)
RR
Indiana(6/10/2024)
RR
Iowa(3/15/2018)
IAR
Iowa(9/3/2024)
RR
Maryland(8/10/2017)
IAR
Maryland(9/3/2024)
RR
Michigan(2/13/2018)
IAR
Michigan(2/3/2023)
RR
Missouri(11/14/2022)
IAR
Missouri(9/3/2024)
RR
New Jersey(8/15/2023)
RR
North Carolina(1/24/2005)
IAR
North Carolina(9/3/2024)
RR
Ohio(2/11/2025)
IAR
Ohio(2/12/2025)
RR
Pennsylvania(2/13/2018)
IAR
Pennsylvania(9/3/2024)
RR
Wisconsin(4/20/2001)
IAR
Wisconsin(2/2/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/17/1972
Registered Representative ExaminationPrincipal/Supervisory 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.
