LZ
Lance A. Zimmerman
M HOLDINGS SECURITIES
Prairie Village, KS 66208
Some features on this profile are disabled
CRD#: 4855394
LZ
Professional summary
Lance Alan Zimmerman is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Prairie Village, Kansas.
Lance is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Lance has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) McInnes Group Inc.; 3500 West 75th Street, Suite 200, Prairie Village, KS 66208; 01/2017; Director of Retirement Plan Services; Solicit clients and help them manage 401(k) plan portfolios; Investment Related; 160 hours/month; 160 hours/month during business hours; Commissions, Expense Reimbursement, Referrals or Referral Fees. 2) Z3 Tea Company; 04/20/2023; Owner/Investor; Retail store to sell Ice Tea, Coffee, Food and retail goods; Not Investment Related; 30 hours/month; 20 hours/month during business hours; Ownership, Profits. 3) Z2 Holdings Corp. ; 11400 North View Drive, Aledo TX 76008; Beverage store; Not investment Related; President; Running the business with the help of my partner and general manager; 4/2/2024; 40 hours per month; 10 per month hours during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Lance Alan Zimmerman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lance Alan Zimmerman'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 22, 2017 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 3500 W. 75th Street Suite 200, Prairie Village, KS 66208RIA
BD
CRD#: 43285
Prairie Village, KS
Current
March 6, 2017 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 3500 W. 75th Street Suite 200, Prairie Village, KS 66208RIA
BD
CRD#: 43285
Prairie Village, KS
Past
February 14, 2017 - March 22, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
FAIRWAY, KS
Past
October 2, 2015 - August 15, 2016
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
January 30, 2015 - October 1, 2015
BMO INVESTMENT DISTRIBUTORS, LLC
BD
CRD#: 146711
Kansas City, MO
Past
August 1, 2012 - January 30, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
KANSAS CITY, MO
Past
April 12, 2005 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
KANSAS CITY, MO
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(4/10/2017)
RR
California(10/27/2021)
RR
Florida(10/27/2021)
RR
Illinois(5/2/2019)
RR
Indiana(10/27/2021)
RR
Iowa(12/2/2022)
RR
Kansas(3/6/2017)
IAR
Kansas(3/22/2017)
RR
Massachusetts(12/2/2022)
RR
Missouri(4/10/2017)
IAR
Missouri(2/1/2023)
RR
New Hampshire(10/27/2021)
RR
Oklahoma(1/4/2019)
RR
Oregon(1/4/2019)
RR
Texas(12/10/2020)
Exams
State Security Law Exam
State Security Law 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
