Colleen A. Rhodd
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.
Colleen Anika Rhodd, who also goes by Colleen Rhodd, Colleen Anika Rhodd, was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 2007. Colleen had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2018 - March 15, 2022
M HOLDINGS SECURITIES, INC.
December 1, 2017 - March 15, 2022
M HOLDINGS SECURITIES, INC.
March 24, 2016 - June 29, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 18, 2016 - June 29, 2017
TD AMERITRADE, INC.
March 17, 2016 - June 29, 2017
TD AMERITRADE, INC.
October 28, 2014 - June 8, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 1, 2014 - June 8, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 15, 2012 - February 19, 2014
MORGAN STANLEY
October 22, 2012 - February 19, 2014
MORGAN STANLEY
February 5, 2010 - August 24, 2012
ESSEX NATIONAL SECURITIES, LLC
February 21, 2008 - November 23, 2009
NYLIFE DISTRIBUTORS LLC
January 17, 2007 - October 10, 2007
WELLS FARGO CLEARING SERVICES, LLC
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 7TO
Date: 3/22/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/22/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
