RS
Richard M. Smarg
ADVISORS TRUST PLANNING AND INVESTMENT COMPANY
Naples, FL 34110
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CRD#: 816052
RS
Professional summary
Richard Michael Smarg is a registered financial advisor currently at ADVISORS TRUST PLANNING AND INVESTMENT COMPANY located in Naples, Florida and M HOLDINGS SECURITIES, INC. located in Naples, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Richard has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Retirement & Insurance Resources, LLC; 1185 Immokalee Road, Suite 120, Naples, FL 34110; 12/28/1998; President; Design, installation and administration of retirement, insurance and wealth management strategies; Investment Related; 80 hours per month; 80 hours/month during business hours; Ownership, Commissions. 2) Advanced Choice Technology; 1185 Immokalee Road, Suite 120, Naples, FL 34110; Managing Member; Decision-making programs; Not Investment Related; 8 hours/month; 2 hours/month during business hours; Profits. 3) Advisors Trust Planning and Investment Company; 1185 Immokalee Road, Suite 120, Naples, FL 34110; Managing Partner; Serving clients and businesses as an RIA; Investment Related; 80 hours/month; 80 hours/month during business hours; Ownership, Profits, Wages/Salary, Referrals/Referral Fees.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Michael Smarg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Michael Smarg'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
November 30, 1998 - Present
ADVISORS TRUST PLANNING AND INVESTMENT COMPANY
Office #1: 1185 Immokalee Road, Suite #120, Naples, FL 34110RIA
CRD#: 142282
Naples, FL
Current
November 16, 2016 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 1185 Immokalee Road Suite 120, Naples, FL 34110RIA
BD
CRD#: 43285
Naples, FL
Current
November 22, 2000 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 1185 Immokalee Road Suite 120, Naples, FL 34110RIA
BD
CRD#: 43285
Naples, FL
Past
May 3, 1999 - October 19, 2000
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
March 19, 1997 - November 22, 2000
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
February 26, 1988 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
Past
March 25, 1987 - December 7, 1987
MCGINN, SMITH & CO., INC.
BD
CRD#: 8453
Past
September 12, 1978 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
December 4, 1975 - November 24, 1978
NEW ENGLAND SECURITIES
BD
CRD#: 615
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(10/16/2023)
RR
California(9/21/2016)
IAR
Florida(11/30/1998)
RR
Florida(11/22/2000)
RR
New Hampshire(11/22/2000)
RR
North Carolina(6/6/2008)
IAR
North Carolina(1/6/2009)
RR
Ohio(11/22/2000)
RR
South Carolina(11/27/2000)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/29/1975
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.
