RF
Robert J. Fiondella
M HOLDINGS SECURITIES
Simsbury, CT 06089
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CRD#: 7777462
RF
Professional summary
Robert Jon Fiondella Jr, who also goes by Rj Fiondella, Robert Fiondella, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Simsbury, Connecticut.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Robert has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rj Fiondella | Robert Fiondella
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) Wealth Preservation Partners; 90 Hopmeadow St, Weatogue CT 06089; Wealth preservation and financial planning; Investment related; Marketer; Offers wealth management and insurance options; 05/01/2023; 160 hrs / month; 160 hrs / month during trading hours. 2) Fiondella Insurance and Retirement Planning; 90 Hopmeadow St, Weatogue CT 06089; Insurance and financial investment solutions; Investment related; Marketer; offer financial planning as an IAR and annuities, life insurance and brokerage accounts through MHS; 5/01/2023; 160 hours per month; 160 hours per month during trading hours. 3) RJF Capital Limited Liability Company; 3 Chelsea Place, Farmington, CT 06032; Consulting; Investment Related; Owner; Consulting for start up companies to facilitate investment from potential investors, crafting due diligence paperwork and representing the company from the beginning of the raise until completion and successful funding; 12/11/20; 10 hours per month; 5 hours per month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Jon Fiondella Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Jon Fiondella 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®
NoneExperience
Current
October 20, 2023 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 90 Hopmeadow Street, Simsbury, CT 06089RIA
BD
CRD#: 43285
Simsbury, CT
Current
August 7, 2023 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 90 Hopmeadow Street, Simsbury, CT 06089RIA
BD
CRD#: 43285
Simsbury, CT
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(10/23/2025)
IAR
Arizona(10/29/2025)
RR
Connecticut(10/20/2023)
IAR
Connecticut(10/20/2023)
RR
District of Columbia(5/7/2024)
RR
Florida(10/24/2024)
IAR
Florida(4/10/2025)
RR
Maine(4/9/2025)
IAR
Maine(4/9/2025)
RR
Massachusetts(2/23/2024)
RR
Mississippi(8/8/2025)
IAR
Mississippi(8/8/2025)
RR
New Hampshire(6/13/2025)
IAR
New Hampshire(6/13/2025)
RR
New Jersey(10/24/2024)
RR
New York(10/24/2024)
RR
Rhode Island(2/22/2024)
IAR
Rhode Island(4/30/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/7/2023
General Securities Representative ExaminationGeneral 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.
