Katie Carlson
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.
Katie Carlson, who also goes by Katie M Carlson, Katie Marie Carlson, was a registered financial professional .
Katie is a previously registered financial professional and started their career in finance in 2006. Katie had worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2025 - July 16, 2026
M HOLDINGS SECURITIES, INC.
May 6, 2021 - January 12, 2023
CONTINUUM ADVISORY, LLC
September 2, 2016 - February 5, 2020
SILVERHAWK ASSET MANAGEMENT, LLC
October 16, 2015 - March 24, 2016
RAYMOND JAMES & ASSOCIATES, INC.
October 16, 2015 - March 24, 2016
RAYMOND JAMES & ASSOCIATES, INC.
June 19, 2014 - November 3, 2015
OPPENHEIMER & CO. INC.
June 19, 2014 - November 3, 2015
OPPENHEIMER & CO. INC.
June 1, 2009 - December 11, 2012
MORGAN STANLEY
June 1, 2009 - December 11, 2012
MORGAN STANLEY
July 27, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 17, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
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
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.
