Katie M. Carlson

M HOLDINGS SECURITIES

Phoenix, AZ 85018

Some features on this profile are disabled

CRD#: 5055997

Professional summary

Katie Marie Carlson, who also goes by Katie M Carlson, Katie Marie Carlson, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Phoenix, Arizona.

Katie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Katie has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katie M Carlson | Katie Marie Carlson

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) - RIA

Click below to view Katie Marie Carlson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 17, 2025 - Present

M HOLDINGS SECURITIES, INC.

Office #1: 5090 N. 40th Street Suite 180, Phoenix, AZ 85018

RIA

CRD#: 43285

Phoenix, AZ

Past

May 6, 2021 - January 12, 2023

CONTINUUM ADVISORY, LLC

RIA

CRD#: 283155

Phoenix, AZ

Past

September 2, 2016 - February 5, 2020

SILVERHAWK ASSET MANAGEMENT, LLC

RIA

CRD#: 167798

SCOTTSDALE, AZ

Past

October 16, 2015 - March 24, 2016

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

CHICAGO, IL

Past

October 16, 2015 - March 24, 2016

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

CHICAGO, IL

Past

June 19, 2014 - November 3, 2015

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

CHICAGO, IL

Past

June 19, 2014 - November 3, 2015

OPPENHEIMER & CO. INC.

CRD#: 249

CHICAGO, IL

Past

June 1, 2009 - December 11, 2012

MORGAN STANLEY

RIA

CRD#: 149777

CHICAGO, IL

Past

June 1, 2009 - December 11, 2012

MORGAN STANLEY

CRD#: 149777

CHICAGO, IL

Past

July 27, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CHICAGO, IL

Past

May 17, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CHICAGO, IL

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".

M HOLDINGS SECURITIES, INC.

CRD#: 43285 / SEC#: 801-57304, 8-50214

RIA

Registered Investment Advisory firm - SEC (3/14/2000 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(1/17/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/10/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/24/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/10/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/16/2006

General Securities Representative Examination

Current Firm

M HOLDINGS SECURITIES, INC.

CRD#: 43285 / SEC#: 801-57304, 8-50214

RIA

Registered Investment Advisory firm - SEC (3/14/2000 Approved)

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)

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 (10/2/2025)

WEALTHPURSUIT WRAP FEE PROGRAMS BROCHURE (10/2/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Katie M. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katie Marie Carlson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONTINUUM ADVISORY, LLC

SILVERHAWK ASSET MANAGEMENT, LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

M HOLDINGS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/10/2006

SIE

Date: 3/24/2016

Series 31

Date: 12/10/2007

Series 7

Date: 5/16/2006

Current Firm

M HOLDINGS SECURITIES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

M HOLDINGS SECURITIES, INC.

TRUST BUT VERIFY

Similar Advisors