MR
Mark J. Richards
M HOLDINGS SECURITIES
Greenwood Village, CO 80111
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CRD#: 727769
MR
Professional summary
Mark James Richards, CFP®, who also goes by Mark J Richards, is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Greenwood Village, Colorado.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1981. Mark has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mark J Richards
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) - BD
Click below to view Mark James Richards'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®
Experience
Current
January 26, 2001 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 5299 Dtc Boulevard Ste 1100, Greenwood Village, CO 80111RIA
BD
CRD#: 43285
Greenwood Village, CO
Past
September 12, 1997 - February 4, 1998
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
July 31, 1996 - January 29, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
March 24, 1995 - December 11, 1998
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
February 8, 1994 - November 15, 1994
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
May 7, 1993 - February 8, 1994
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
April 13, 1981 - May 5, 1993
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
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.
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
Alaska(9/2/2022)
RR
Arizona(8/30/2022)
RR
California(1/26/2001)
RR
Colorado(1/26/2001)
RR
Connecticut(8/19/2022)
RR
Delaware(1/26/2001)
RR
District of Columbia(8/26/2022)
RR
Florida(1/26/2001)
RR
Illinois(1/26/2001)
RR
Indiana(8/19/2022)
RR
Maryland(8/23/2022)
RR
Massachusetts(8/19/2022)
RR
Nebraska(1/26/2001)
RR
Nevada(8/31/2022)
RR
New Jersey(8/17/2021)
RR
New York(8/19/2022)
RR
North Carolina(7/25/2014)
RR
Ohio(8/19/2022)
RR
Oregon(9/18/2018)
RR
South Carolina(8/19/2022)
RR
South Dakota(8/8/2022)
RR
Texas(1/26/2001)
RR
Utah(8/19/2022)
RR
Virginia(8/20/2022)
RR
Wisconsin(8/19/2022)
RR
Wyoming(8/19/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
