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KA

Katherine J. Anderson

M HOLDINGS SECURITIES
Portland, OR 97209
Some features on this profile are disabled
CRD#: 5530012
KA

Professional summary

Katherine Joyce Anderson, who also goes by Katherine Joyce Fortin, Kathryn Fortin, Kati Joyce Fortin, Kitty Joyce Fortin, is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Portland, Oregon and M FINANCIAL SECURITIES MARKETING, INC. located in Portland, Oregon.

Katherine is registered as a RR (Registered Representative) and started their career in finance in 2008. Katherine has worked at 2 firms and has passed the Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katherine Joyce Fortin | Kathryn Fortin | Kati Joyce Fortin | Kitty Joyce Fortin

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) - BD

Click below to view Katherine Joyce Anderson'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®
None

Experience

Current

June 20, 2008 - Present

M HOLDINGS SECURITIES, INC.

Office #1: 1125 N.w. Couch Street Suite 900, Portland, OR 97209
RIA
BD
CRD#: 43285
Portland, OR
Current

December 6, 2011 - Present

M FINANCIAL SECURITIES MARKETING, INC.

Office #1: 1125 Nw Couch Street Suite 900, Portland, OR 97209
BD
CRD#: 139304
Portland, OR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MF
M FINANCIAL SECURITIES MARKETING, INC.
M FINANCIAL SECURITIES MARKETING, INC.

CRD#: 139304 / SEC#: , 8-67206

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1125 Nw Couch Street Suite 900, Portland, OR 97209
Mailing Address
1125 Nw Couch Street Suite 900, Portland, OR 97209
Phone number
(888) 520-6784
Established
Oregon since 06/20/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
M FINANCIAL HOLDINGS INCORPORATEDOWNER
LUDWIG, STEVEN CHARLESCHIEF COMPLIANCE OFFICER2440911
ROGERS, MARIA RENEEFINANCIAL OPERATIONS OFFICER2442526
SCHOONMAKER, MICHAEL SKICHIEF EXECUTIVE OFFICER2408456

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 FINANCIAL SECURITIES MARKETING, INC.

CRD#: 139304Portland, OR 97209

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