M Holdings Securities, Inc.
Registered investment adviser · Portland, OR · CRD #43285
Form ADV data as of 2026-09-01Regulatory assets
$3.21 billion
Total accounts
8,115
Employees
1,442
Disclosure events
8
Firm details
- Website: https://mfin.com/m-securities
- Telephone: 800-656-6960
- SEC file number: 801-57304
- Most recent Form ADV filing: 2026-03-31
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 5 disclosure questions answered Yes, covering 8 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- Another regulator entered an order in connection with investment-related activity (past 10 years)
- A self-regulatory organization found a violation of its rules
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $1.97 billion |
| Non-discretionary regulatory assets under management | $1.23 billion |
| Total regulatory assets under management | $3.21 billion |
| Discretionary accounts | 6,118 |
| Non-discretionary accounts | 1,997 |
| Total accounts | 8,115 |
| Regulatory assets under management attributable to non-U.S. persons | $5.2 million |
People
| Total employees (excluding clerical) | 1,442 |
| Employees performing investment advisory functions (including research) | 171 |
| Employees who are registered representatives of a broker-dealer | 709 |
| Employees registered as investment adviser representatives with a state | 222 |
| Employees registered as IARs for another investment adviser | 156 |
| Employees who are licensed insurance agents | 445 |
| Firms or persons who solicit advisory clients on the firm's behalf | 1 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $945.0 million |
| Clients for whom the firm has custody | 945 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 2 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Recommends securities for which it serves as underwriter or general partner
- Recommends securities in which it has another sales interest
- Recommends brokers or dealers to clients
- Brokers or dealers recommended under 8.E. are related persons
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
- Receives compensation from others for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 4,290 | $1.88 billion |
| High net worth individuals | 78 | $1.15 billion |
| Pension and profit sharing plans (not the participants or government plans) | 15 | $11.9 million |
| Corporations or other businesses not listed above | 130 | $163.8 million |