DG
David C. Graffagnino
M HOLDINGS SECURITIES
Daytona Beach, FL 32114
Some features on this profile are disabled
CRD#: 837677
DG
Professional summary
David Christopher Graffagnino, who also goes by David Christophe Graffagnino, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Daytona Beach, Florida.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. David has worked at 6 firms and has passed the Series 63, SIE, Series 15, Series 5, Series 3, Series 7, Series 1, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Christophe Graffagnino
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) Halifax Health; 303 N. Clyde Morris Blvd., Daytona Beach, FL 32114; 08/08/2011; Investment Committee Member; 1 hour/month, 0 hours/month during business hours; No compensation. 2) Executive Compensation Group, LLC; 325 N. Williamson Blvd, Suite 120, Daytona Beach, FL 32114; 04/15/2020; Principal; Sales of securities, insurance, and RIA business are conducted under this LLC; Investment related; 160 hours/month; 160 hours/month during business hours; Ownership, profits, commissions, RIA fees. 3) The 325, LLC; 325 N. Williamson Blvd, Suite 120, Daytona Beach, FL 32114; Real Estate Investment; Not Investment Related; Owner-70%; Passive Owner, Signs Checks for Building Maintenance; 8/29/2021; 2 hours Per Month; 0 hours Per month during Trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view David Christopher Graffagnino's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Christopher Graffagnino'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
June 30, 2004 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 325 N. Williamson Blvd Suite 120, Daytona Beach, FL 32114RIA
BD
CRD#: 43285
Daytona Beach, FL
Current
May 28, 2004 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 325 N. Williamson Blvd Suite 120, Daytona Beach, FL 32114RIA
BD
CRD#: 43285
Daytona Beach, FL
Past
August 11, 1995 - June 14, 2004
WS GRIFFITH SECURITIES, INC.
RIA
CRD#: 10410
DAYTONA BEACH, FL
Past
April 8, 1993 - June 14, 2004
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
September 15, 1989 - April 13, 1993
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 19, 1983 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
Past
October 20, 1980 - October 28, 1981
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Past
May 18, 1977 - October 28, 1981
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
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
Alabama(9/21/2005)
RR
Alaska(9/26/2018)
RR
Arizona(6/8/2015)
RR
California(8/26/2009)
RR
Colorado(6/29/2004)
RR
Connecticut(2/26/2020)
RR
Delaware(1/3/2017)
IAR
District of Columbia(3/2/2023)
RR
Florida(5/28/2004)
IAR
Florida(6/30/2004)
RR
Georgia(6/8/2007)
RR
Indiana(2/18/2021)
RR
Iowa(6/7/2004)
RR
Kentucky(10/19/2007)
RR
Louisiana(12/18/2012)
RR
Maryland(9/21/2018)
RR
Massachusetts(8/1/2007)
RR
Michigan(6/4/2004)
RR
Missouri(3/11/2019)
RR
New Jersey(5/28/2004)
IAR
New Jersey(5/26/2023)
RR
New Mexico(1/30/2024)
RR
New York(5/28/2004)
RR
North Carolina(6/4/2004)
RR
North Dakota(7/10/2018)
RR
Oregon(12/14/2018)
RR
Pennsylvania(5/28/2004)
RR
South Carolina(5/28/2004)
RR
Tennessee(2/4/2025)
RR
Texas(1/10/2012)
RR
Vermont(5/28/2004)
RR
Virginia(4/22/2010)
RR
West Virginia(1/30/2024)
RR
Wisconsin(10/5/2004)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 6/22/1983
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 2/17/1983
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/11/1977
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.
