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SV

Sandra Velasquez

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CRD#: 4953584
SV

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.

Sandra Velasquez was a registered financial professional .

Sandra is a previously registered financial professional and started their career in finance in 2005. Sandra had worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 7, 2008 - October 22, 2015

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
EL SEGUNDO, CA
Past

May 29, 2007 - March 27, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
SEAL BEACH, CA
Past

May 29, 2007 - March 27, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SEAL BEACH, CA
Past

March 23, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
SEAL BEACH, CA
Past

March 23, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
SEAL BEACH, CA
Past

September 20, 2005 - March 21, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
IRVINE, CA
Past

August 9, 2005 - March 21, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/19/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/22/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 10/28/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/8/2005
General Securities Representative Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

M HOLDINGS SECURITIES, INC. FORM 2A ADV FIRM BROCHURE (12/17/2025)
WEALTHPURSUIT WRAP FEE PROGRAMS BROCHURE (10/2/2025)

Direct owners and executive officers

NamePositionCRD#
M FINANCIAL HOLDINGS INCORPORATEDEQUITY OWNER
HANEY-JACKSON, LAURA ELIZABETHVICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER4771801
LUDWIG, STEVEN CHARLESCHIEF COMPLIANCE OFFICER2440911
ROGERS, MARIA RENEEPRINCIPAL FINANCIAL OFFICER2442526
SCHOONMAKER, MICHAEL SKICHIEF EXECUTIVE OFFICER2408456

Regulatory assets under management

Total Number of Accounts8,234
AUM (Assets Under Management)$ 4,078,516,284

Disclosures

Regulatory Event5

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/10/2025
Cover Page
Report
11/13/2024
Cover Page
Report
08/28/2023
Cover Page
Report

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.

Company Information

M HOLDINGS SECURITIES, INC.

CRD#: 43285

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