LR
Louis R. Roedersheimer
M HOLDINGS SECURITIES
Covington, KY 41011
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CRD#: 5806966
LR
Professional summary
Louis Richard Roedersheimer Jr, CFP®, who also goes by Louis Richard Roedersheimer, Rich Roedersheimer, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Covington, Kentucky.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Louis has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Louis Richard Roedersheimer | Rich Roedersheimer
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) Elder High School Alumni Board; 3900 Vincent Ave. Cincinnati, OH 45205; 01/2016; Board Member; Organize alumni activities; Not investment related; 2 hours/month, 0 hours/month during business hours; No compensation.
(2) Blue Bagger, Inc.; 40 West 5th Street, Covington, KY 41011; 12/15/2018; Owner; Consulting; Not investment related; 2 hours/month; 1 hour/month during business hours; Ownership, Passive income, Profits.
(3) Evergreen Advisors Inc.; 40 West 5th Street, Covington, KY 41011; 04/2016; Senior Vice President; Financial planning; Investment related; 160 hours/month; 160 hours/month during business hours; Commissions.
(4) Roedersheimer Financial Inc.; 40 West 5th Street, Covington, KY 41011; 04/2016; President; Financial planning; Investment related; 160 hours/month; 160 hours/month during business hours; Ownership, Profits, Commissions, Wages/Salary/Tips.
CRS (Client Relationship Summary) - RIA
Click below to view Louis Richard Roedersheimer Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Louis Richard Roedersheimer 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®
CFP®
Start date: 2015
Experience
Current
April 15, 2016 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 40 W. 5th St., Covington, KY 41011RIA
BD
CRD#: 43285
Covington, KY
Current
April 15, 2016 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 40 W. 5th St., Covington, KY 41011RIA
BD
CRD#: 43285
Covington, KY
Past
September 11, 2012 - May 2, 2016
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
CINCINNATI, OH
Past
January 17, 2012 - May 2, 2016
OPPENHEIMER & CO. INC.
BD
CRD#: 249
CINCINNATI, OH
Past
March 3, 2011 - February 10, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
CINCINNATI, OH
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
California(8/17/2021)
RR
Colorado(10/20/2022)
RR
Connecticut(11/30/2021)
RR
Delaware(12/8/2020)
RR
Florida(4/15/2016)
IAR
Florida(2/2/2023)
RR
Georgia(12/19/2023)
RR
Illinois(8/17/2021)
RR
Indiana(4/15/2016)
IAR
Indiana(2/1/2023)
RR
Iowa(8/25/2021)
RR
Kentucky(4/15/2016)
IAR
Kentucky(4/15/2016)
RR
Maryland(9/9/2022)
RR
Massachusetts(12/8/2020)
RR
Michigan(8/25/2021)
RR
New Hampshire(9/9/2022)
RR
New Jersey(4/15/2016)
RR
New Mexico(8/25/2021)
RR
New York(11/5/2018)
RR
North Carolina(8/26/2021)
RR
Ohio(4/15/2016)
IAR
Ohio(2/2/2023)
RR
Pennsylvania(4/15/2016)
RR
South Carolina(12/8/2020)
RR
Tennessee(2/11/2019)
RR
Texas(12/8/2020)
RR
Virginia(8/25/2021)
RR
Wyoming(8/25/2021)
Exams
State Security Law Exam
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#: 43285Covington, KY 41011TRUST BUT VERIFY
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