RB
Rooney Barker
M HOLDINGS SECURITIES
Highland, IL 62249
Some features on this profile are disabled
CRD#: 868734
RB
Professional summary
Rooney Barker is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Highland, Illinois.
Rooney is registered as a RR (Registered Representative) and started their career in finance in 1979. Rooney has worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
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) DBP Wealth Advisory Group, LLC; 1007 Broadway, Highland, IL 62249; 12/14/2020; Agent; Financial planning, insurance and investment sales; Investment Related; 100 hours/month; 100 hours/month during business hours; Commissions. 2) Portell Financial Services, Inc.; 1210 Washington Street, Highland, IL 62249; 01/1983; Agent; Sales and service of life and health insurance; Investment Related; 40 hours/month; 40 hours/month during business hours; Commissions.
CRS (Client Relationship Summary) - BD
Click below to view Rooney Barker'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 15, 2012 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 1007 Broadway, Highland, IL 62249RIA
BD
CRD#: 43285
Highland, IL
Past
February 15, 2012 - February 8, 2024
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
HIGHLAND, IL
Past
July 1, 2005 - February 21, 2012
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
HIGHLAND, IL
Past
July 1, 2005 - February 21, 2012
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
HIGHLAND, IL
Past
June 5, 2003 - July 14, 2005
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
PORTLAND, OR
Past
August 31, 1998 - August 9, 2005
M FINANCIAL SERVICES, INC.
RIA
CRD#: 116280
HIGHLAND, IL
Past
April 11, 1998 - December 31, 2005
SPECTRUM FINANCIAL INC
RIA
CRD#: 105618
HIGHLAND, IL
Past
September 17, 1997 - June 17, 2003
OSAIC WEALTH, INC.
RIA
CRD#: 23131
HIGHLAND, IL
Past
November 19, 1989 - June 17, 2003
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
August 7, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
September 7, 1983 - August 11, 1986
SUMMIT EQUITIES, INC.
BD
CRD#: 11039
Past
July 23, 1979 - September 12, 1983
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
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.
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
Arkansas(5/6/2025)
RR
Florida(2/15/2012)
RR
Illinois(2/15/2012)
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
RR
Series 1
Date: 7/14/1979
Registered Representative ExaminationSRO 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 43285Highland, IL 62249TRUST BUT VERIFY
Monitor Rooney Barker
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
