Russell K. Achzet
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Russell Keith Achzet, CFP®, who also goes by Russell K Achzet, was a registered financial advisor .
Russell is a previously registered financial advisor and started their career in finance in 1978. Russell had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 2 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2011 - November 21, 2014
M HOLDINGS SECURITIES, INC.
June 21, 2010 - November 21, 2014
M HOLDINGS SECURITIES, INC.
September 22, 2000 - March 1, 2011
TOMPKINS FINANCIAL ADVISORS
April 28, 1986 - June 25, 2010
ENSEMBLE FINANCIAL SERVICES, INC.
September 23, 1985 - October 14, 1987
CARILLON INVESTMENTS, INC.
August 24, 1984 - May 8, 1986
ROCHESTER FUND DISTRIBUTORS
June 24, 1983 - November 23, 1983
AETNA FINANCIAL SERVICES, INC.
June 19, 1983 - August 7, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
April 4, 1983 - January 22, 1985
GLEACHER & COMPANY SECURITIES, INC.
March 14, 1983 - December 15, 1992
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 24, 1978 - February 2, 1983
BRIGHTON SECURITIES CORP.
June 7, 1978 - April 11, 1986
TOWER SQUARE SECURITIES, INC.
Primary Firm SEC Registration
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 5/27/1978
Registered Representative ExaminationSeries 2
Date: 7/16/1970
Non-Member General Securities ExaminationCurrent Firm
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
Contact information
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.
