RS
Robert F. Swartzbaugh
M HOLDINGS SECURITIES
Omaha, NE 68114
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CRD#: 800847
RS
Professional summary
Robert Franklin Swartzbaugh, who also goes by Bob Swartz, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Omaha, Nebraska.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Robert has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Swartz
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) Swartzbaugh-Farber & Associates, Inc.; 9140 West Dodge Road, Suite 418, Omaha, NE 68114; 11/01/1993; President/CEO; Insurance and Investment Advisory Services, Company Oversight; Investment Related; 150 hours/month; 150 hours/month during business hours; Ownership, Expense Reimbursement, Wages/Salary.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Franklin Swartzbaugh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Franklin Swartzbaugh'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
February 29, 2008 - Present
M HOLDINGS SECURITIES, INC.
Office #1: Financial Plaza 9140 West Dodge Road, Ste 418, Omaha, NE 68114RIA
BD
CRD#: 43285
Omaha, NE
Current
March 1, 2001 - Present
M HOLDINGS SECURITIES, INC.
Office #1: Financial Plaza 9140 West Dodge Road, Ste 418, Omaha, NE 68114RIA
BD
CRD#: 43285
Omaha, NE
Past
October 13, 1987 - March 2, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
October 3, 1985 - October 29, 1987
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
March 22, 1979 - March 25, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
January 14, 1977 - May 17, 1985
PROVIDENT MARKETING CORPORATION
BD
CRD#: 7328
Past
November 12, 1975 - November 3, 1987
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
Past
November 19, 1974 - January 14, 1977
PROVIDENT NATIONAL EQUITIES, INC.
BD
CRD#: 40
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(8/3/2001)
RR
Arkansas(8/3/2001)
RR
California(2/8/2024)
RR
Florida(10/18/2006)
RR
Illinois(8/3/2001)
RR
Iowa(9/6/2023)
RR
Kansas(8/3/2001)
RR
Maryland(2/8/2024)
RR
Missouri(2/8/2024)
RR
Nebraska(3/1/2001)
IAR
Nebraska(2/29/2008)
RR
South Dakota(8/3/2001)
RR
Texas(2/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/14/1974
Registered Representative ExaminationPrincipal/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.
Company Information
M HOLDINGS SECURITIES, INC.
CRD#: 43285Omaha, NE 68114TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
