James R. Hilliker

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CRD#: 874277

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.

James Richard Hilliker was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1979. James had worked at 10 firms and has passed the Series 63, Series 7, Series 53, F04, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 10, 2000 - December 31, 2011

M HOLDINGS SECURITIES, INC.

CRD#: 43285

PORTLAND, OR

Past

May 10, 1994 - November 23, 1999

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

December 1, 1992 - September 23, 1993

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

February 1, 1991 - December 1, 1992

INTERPACIFIC INVESTORS SERVICES, INC.

CRD#: 4879

SEATTLE, WA

Past

January 30, 1987 - February 8, 1991

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

September 1, 1984 - January 30, 1987

SOMERS, GROVE & CO., INC.

CRD#: 5294

Past

April 12, 1984 - March 19, 1986

ALBERT R. GEDRIMAS FINANCIAL SERVICES,INC.

CRD#: 14533

Past

May 6, 1983 - April 17, 1984

MARSHALL AND MEYER, INCORPORATED

CRD#: 7096

Past

March 30, 1982 - December 1, 1982

EVANS LLEWELLYN SECURITIES, INC.

CRD#: 8404

Past

September 29, 1981 - April 20, 1982

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

November 26, 1979 - September 2, 1981

PUGET SOUND SECURITIES, INC.

CRD#: 902

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".

M HOLDINGS SECURITIES, INC.

CRD#: 43285 / SEC#: 801-57304, 8-50214

RIA

Registered Investment Advisory firm - SEC (3/14/2000 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/29/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/17/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/20/1982

Municipal Securities Principal Examination

Principal/Supervisory Exam

F04

Date: 1/12/1981

Financial Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/10/1980

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/14/1980

General Securities Principal Examination

Current Firm

M HOLDINGS SECURITIES, INC.

CRD#: 43285 / SEC#: 801-57304, 8-50214

RIA

Registered Investment Advisory firm - SEC (3/14/2000 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

M HOLDINGS SECURITIES, INC. FORM 2A ADV FIRM BROCHURE (10/2/2025)

WEALTHPURSUIT WRAP FEE PROGRAMS BROCHURE (10/2/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/10/2025	Cover Page	Report
11/13/2024	Cover Page	Report
08/28/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

James R. Hilliker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MARKETING ONE SECURITIES, INC.

WAMU INVESTMENTS, INC.

INTERPACIFIC INVESTORS SERVICES, INC.

WAMU INVESTMENTS, INC.

SOMERS, GROVE & CO., INC.

ALBERT R. GEDRIMAS FINANCIAL SERVICES,INC.

MARSHALL AND MEYER, INCORPORATED

EVANS LLEWELLYN SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

PUGET SOUND SECURITIES, INC.

Primary Firm SEC Registration

M HOLDINGS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/29/1982

Series 7

Date: 11/17/1979

Series 53

Date: 5/20/1982

F04

Date: 1/12/1981

Series 4

Date: 11/10/1980

Series 24

Date: 10/14/1980

Current Firm

M HOLDINGS SECURITIES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

M HOLDINGS SECURITIES, INC.

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