TF
Thomas J. Fanning
M HOLDINGS SECURITIES
JUPITER, FL
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CRD#: 5683053
TF
Professional summary
Thomas Joseph Fanning Jr, who also goes by Thomas J Fanning Jr, Thomas J Fanning, Thomas Joseph Fanning Jr., Tom Fanning, Tom J. Fanning, Jr., Thomas Joseph Fanning, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Jupiter, Florida.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Thomas has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas J Fanning Jr | Thomas J Fanning | Thomas Joseph Fanning Jr. | Tom Fanning | Tom J. Fanning, Jr. | Thomas Joseph Fanning
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) HERITAGE STRATEGIES, LLC; 135 CROSSWAYS PARK DRIVE, SUITE 402, WOODBURY, NY 11797; JANUARY 2018; PARTNER; ESTATE, BUSINESS SUCCESSION AND LIFE INSURANCE; INVEST RELATED; LIFE INSURANCE, OTHER HERITAGE PARTNERS/MARKETERS; 240 HOURS/MONTH, 240 HOURS/MONTH DURING BUSINESS HOURS. 2) HERITAGE BENEFIT SOLUTIONS; 135 CROSSWAYS PARK DRIVE, SUITE 402, WOODBURY, NY 11797; 04/17/2020; PARTNER; HEALTH INSURANCE; INVESTMENT RELATED; 25 HOURS/MONTH; 25 HOURS/MONTH DURING BUSINESS HOURS. 3) NYPBT; 6 EAST 43RD STREET NEW YORK, NY 10017; BANKING/INVESTMENTS; INVESTMENT RELATED; REFERRAL SOURCE; REFERRING BUSINESS TO NYPBT; 1/1/2024; 1 HOUR PER MONTH; 1 HOUR PER MONTH DURING TRADING HOURS. 4) DFHS LLC; 135 CROSSWAYS PARK DR, SUITE 402, WOODBURY NY 11797; INSURANCE/INVESTMENTS; INVESTMENT RELATED; CO-MANAGING MEMBER; REFERRALS AND JOINT WORK AGREEMENT FOR INSURANCE; 10/1/2024; 2 HOURS PER MONTH, 2 HOURS PER MONTH DURING TRADING HOURS. 5) THE RIDGEBACK GROUP LLC; 222 SOUTH CHURCH ST., SUITE 407, CHARLOTTE NC 28202; FIXED LIFE INSURANCE; INVESTMENT RELATED; INDEPENDENT CONTRACTOR; SELLING FIXED LIFE INSURANCE POLICIES; 03/14/2025; 5 HR/MO; 5 HR/MO DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Fanning Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Fanning Jr'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®
NoneExperience
Current
February 5, 2018 - Present
M HOLDINGS SECURITIES, INC.
Office #2: 135 Crossways Park Dr. Ste 402, Woodbury, NY 11797RIA
BD
CRD#: 43285
JUPITER, FL
Current
January 25, 2018 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 135 Crossways Park Dr. Ste 402, Woodbury, NY 11797RIA
BD
CRD#: 43285
Woodbury, NY
Past
September 28, 2016 - December 19, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Woodbury, NY
Past
February 28, 2013 - October 6, 2014
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
WIIDBYRT, NY
Past
February 27, 2013 - October 6, 2014
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
WIIDBYRT, NY
Past
May 9, 2011 - August 31, 2011
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MELVILLE, NY
Past
January 27, 2011 - August 31, 2011
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MELVILLE, NY
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(7/21/2023)
RR
Colorado(7/20/2023)
RR
Connecticut(9/7/2022)
RR
Delaware(7/21/2023)
RR
Florida(5/12/2021)
RR
Maryland(7/21/2023)
IAR
New Jersey(2/5/2018)
RR
New Jersey(3/15/2021)
RR
New York(1/25/2018)
IAR
New York(6/3/2021)
RR
North Carolina(1/4/2024)
RR
South Dakota(11/28/2023)
RR
Tennessee(11/28/2022)
RR
Vermont(6/5/2020)
RR
Virginia(11/28/2022)
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.
