Our Staff has compiled our research into a database of FINRA Broker Disclosures for M Holdings Securities, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Robert Martin Black | 1145742 | 4 | 05/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Thomas Pace | 2115209 | 4 | 10/09/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David James Klein | 4343839 | 1 | 03/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Johnson Chaffee | 44040 | 2 | 01/02/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Charles Ludwig | 2440911 | 1 | 01/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Wayne Kelley | 4447318 | 1 | 07/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Ellsworth Bergamo | 6190768 | 1 | 01/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin McAndrew | 2448183 | 1 | 10/12/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Wallach | 5810872 | 1 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew James Marcewicz | 4438982 | 1 | 09/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |