AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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#: 139304Dallas, TX 75204

TRUST BUT VERIFY

Monitor Regina Sims

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

David Antonio Alvarez
David AlvarezAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Grapevine, TX
Kenneth Bernard Hopkins
Kenneth HopkinsAdvisorCheck Check Mark
ORION WEALTH MANAGEMENT LLC
IAR
RR
Garland, TX
AG
Adam GelmonAdvisorCheck Check Mark
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
IAR
RR
Dallas, TX
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.