DM
David J. Malone
M HOLDINGS SECURITIES
Pittsburgh, PA 15222
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CRD#: 706763
DM
Professional summary
David John Malone, who also goes by David J Malone, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Pittsburgh, Pennsylvania.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. David has worked at 5 firms and has passed the Series 63, SIE, Series 6, Series 1, Series 26 and Series 39 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David J Malone
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.
CRS (Client Relationship Summary) - RIA
Click below to view David John Malone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David John Malone'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
September 3, 2021 - Present
M HOLDINGS SECURITIES, INC.
Office #1: Four Ppg Place Suite 600, Pittsburgh, PA 15222RIA
BD
CRD#: 43285
Pittsburgh, PA
Current
July 21, 2000 - Present
M HOLDINGS SECURITIES, INC.
Office #1: Four Ppg Place Suite 600, Pittsburgh, PA 15222RIA
BD
CRD#: 43285
Pittsburgh, PA
Past
June 14, 1999 - December 31, 2004
GATEWAY FINANCIAL WEALTH MANAGEMENT LP
RIA
CRD#: 108748
PITTSBURGH, PA
Past
August 3, 1993 - June 24, 1997
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
February 5, 1988 - January 18, 2001
DJM FINANCIAL ADVISORY SERVICES, INC.
BD
CRD#: 21216
PITTSBURGH, PA
Past
February 15, 1984 - December 31, 1991
RUSSELL INVESTMENTS, INC.
BD
CRD#: 14275
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(6/4/2018)
RR
California(4/10/2019)
RR
Connecticut(8/24/2020)
RR
Delaware(11/7/2019)
RR
District of Columbia(9/6/2024)
RR
Florida(7/9/2015)
RR
Georgia(11/14/2025)
RR
Hawaii(1/26/2024)
RR
Idaho(1/25/2024)
RR
Illinois(7/9/2015)
RR
Indiana(12/17/2020)
RR
Iowa(2/9/2026)
RR
Kentucky(3/29/2023)
RR
Maryland(5/12/2022)
RR
Massachusetts(11/1/2018)
RR
Michigan(5/17/2022)
RR
Missouri(3/21/2023)
RR
Montana(3/7/2024)
RR
Nebraska(12/5/2023)
RR
Nevada(1/30/2018)
RR
New Hampshire(11/20/2024)
RR
New Jersey(7/7/2015)
RR
New Mexico(10/2/2024)
RR
New York(8/10/2015)
RR
North Carolina(7/18/2017)
RR
Ohio(8/9/2019)
RR
Oklahoma(4/28/2025)
RR
Oregon(1/31/2018)
RR
Pennsylvania(9/13/2000)
IAR
Pennsylvania(9/3/2021)
RR
South Carolina(11/5/2024)
RR
South Dakota(7/31/2025)
IAR
South Dakota(7/31/2025)
RR
Tennessee(6/15/2022)
RR
Texas(7/8/2015)
RR
Utah(5/20/2022)
RR
Vermont(5/5/2008)
RR
Virginia(5/21/2020)
RR
Washington(7/17/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/24/1980
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory 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.
