Lauren S. Thomas
M HOLDINGS SECURITIES
Tampa, FL 33609
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CRD#: 5301259
Professional summary
Lauren Sandra Thomas, CFP®, CLU® is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Tampa, Florida.
Lauren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Lauren has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(1) SYNOVUS BANK OF FLORIDA ADVISORY BOARD; SYNOVUS.COM; 10/19/2017; ADVISORY BOARD MEMBER; BUSINESS DEVELOPMENT, RAISING COMMUNITY AWARENESS; INVESTMENT RELATED; 3 HOURS/MONTH, 3 HOURS/MONTH DURING BUSINESS HOURS; $500 PER MEETING. (2) COMPTON, FINANCIAL, LLC; 5550 W EXECUTIVE DR #500, TAMPA, FL 33609; INVEST RELATED; VARIABLE LIFE COMMISSIONS WILL BE PAID TO THE LLC; 200 HOURS/MONTH, 200 HOURS/MONTH DURING BUSINESS HOURS; NO COMPENSATION. (3) M FINANCIAL INVESTMENT ADVISOR BOARD; 1125 Couch Street, Suite 900, Portland OR 97209; Advisory Board; Not Investment Related; Board Member; Selecting and monitoring sub-advisors, creating investment guidelines for the funds, discussing strategic direction, and reviewing and discussing portfolio compliance; 08/2019; 1 hour per month; 1 hour per month during trading hours. (4) M FINANCIAL WEALTH SOLUTIONS ADVISORY COMMITTEE; 125 Couch Street, Suite 900, Portland OR 97209; Advisory Committee; Not Investment Related; Committee Member; Provide the Wealth Solutions management team with insight and guidance in setting the strategic direction of Wealth Solutions; 01/2021; 1 hour per month; 1 hour per month during trading hours. (5) M FINANCIAL BOARD OF DIRECTORS; 1125 Couch Street, Suite 900, Portland OR 97209; Board of Directors; Not Investment Related; Board Member; Represent the interest of the member firms, provide guidance to the CEO and Executive Team; 07/2023; 6 hours per month; 6 hours per month during trading hours. (6) THE SPRING OF TAMPA BAY; PO Box 5147, Tampa FL 33675; Non-Profit; Not Investment Related; Board Member; Provide guidance and advice to the CEO and Executive team as well as review financials; 05/2023; 3 hours per month; 3 hours per month during trading hours. (7) UNIVERSITY OF TAMPA FINANCIAL AMBASSADORS' COUNCIL; 401 W. Kennedy Blvd., Tampa FL 33606; Advisory council; Not Investment Related; Council Member; Increase awareness of estate planning options for the University of Tampa; 01/2023; 1 hour per month; 1 hour per month during trading hours. (8) TAMPA PREP; 727 W. Cass St., Tampa FL 33606; Board of Trustees; Not investment related; Board Member; Board oversees the management of the school and upholds its governance policies and practices; 08/01/2024; 3 hrs/ month; 3 hrs/month during trading hours. (9) YPO FLORIDA; 4908 W Nassau St, Tampa FL 33606; Leadership & networking organization; Not Investment Related; Communications Co-Chair; Oversee communication strategies and initiatives; 09/03/2024; 4 hr/mo; 1 hr/mo during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Lauren Sandra Thomas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lauren Sandra Thomas's 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®
CFP®
Start date: 2017
Experience
Current
April 6, 2018 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 5550 W. Executive Dr., Ste. 500, Tampa, FL 33609RIA
BD
CRD#: 43285
Tampa, FL
Current
June 15, 2007 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 5550 W. Executive Dr., Ste. 500, Tampa, FL 33609RIA
BD
CRD#: 43285
Tampa, FL
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/12/2017)
RR
California(8/1/2016)
RR
Florida(6/15/2007)
IAR
Florida(4/6/2018)
RR
Georgia(2/12/2021)
RR
Illinois(2/12/2021)
RR
Indiana(1/8/2021)
RR
Kentucky(2/12/2021)
RR
Louisiana(1/9/2024)
RR
Maryland(2/12/2021)
RR
Massachusetts(1/9/2024)
RR
Michigan(1/9/2024)
RR
Mississippi(2/12/2021)
RR
Montana(8/6/2024)
RR
Nevada(4/7/2015)
RR
New Jersey(2/12/2021)
RR
Ohio(2/12/2021)
RR
Oklahoma(1/9/2024)
RR
Oregon(1/9/2024)
RR
Pennsylvania(2/12/2021)
RR
South Carolina(1/9/2024)
RR
Tennessee(1/9/2024)
RR
Texas(1/9/2024)
RR
Virginia(2/12/2021)
RR
West Virginia(1/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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)
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.
Company Information
M HOLDINGS SECURITIES, INC.
CRD#: 43285Tampa, FL 33609TRUST BUT VERIFY
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