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RS

Regina M. Sims

M HOLDINGS SECURITIES
Dallas, TX 75204
Some features on this profile are disabled
CRD#: 6753117
RS

Professional summary

Regina Monique Sims, who also goes by Regina Monique Richardson, is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Dallas, Texas and M FINANCIAL SECURITIES MARKETING, INC. located in Dallas, Texas.

Regina is registered as a RR (Registered Representative) and started their career in finance in 2017. Regina has worked at 4 firms and has passed the Series 63, SIE, Series 99 and Series 14 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Regina Monique Richardson

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 Regina Monique Sims'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

September 12, 2023 - Present

M HOLDINGS SECURITIES, INC.

Office #1: 2699 Howell Street Suite 1100, Dallas, TX 75204Office #2: 207 Grandview Drive Suite 100, Forth Mitchell, KY 41017
RIA
BD
CRD#: 43285
Dallas, TX
Current

October 5, 2023 - Present

M FINANCIAL SECURITIES MARKETING, INC.

Office #1: 2699 Howell Street Suite 1100, Dallas, TX 75204
BD
CRD#: 139304
Dallas, TX
Past

January 11, 2022 - September 6, 2023

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

October 27, 2017 - September 6, 2023

HILLTOP SECURITIES INC.

BD
CRD#: 6220
DALLAS, TX

State Registrations and Notice Filings

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

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
Texas
(9/13/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 11/1/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 10/27/2017
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 14
Date: 11/26/2022
Compliance Officer 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)
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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#: 139304Dallas, TX 75204

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