Randall F. Roy
Professional summary
Randall F. Roy MR., who also goes by Randall F Roy, Randall F. Roy, Randall Fraser Roy, is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Richmond, Virginia.
Randall is registered as a RR (Registered Representative) and started their career in finance in 2006. Randall has worked at 2 firms and has passed the Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Randall F. Roy MR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
February 25, 2022 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 5800 Patterson Avenue Suite 101, Richmond, VA 23226November 21, 2011 - May 2, 2019
CAPITAL BROKERAGE CORPORATION
January 23, 2006 - March 23, 2011
CAPITAL BROKERAGE CORPORATION
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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
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Company Information
M HOLDINGS SECURITIES, INC.
CRD#: 43285Richmond, VA 23226TRUST BUT VERIFY
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