Richard Dean Spivey

ChFC

M Holdings Securities, INC.

43 Years of Experience

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Firm Information

M Holdings Securities, INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Number of Advisors

327 advisors

Number of Clients

3,621 clients

Average Client Portfolio

$1.1M average

Assets Under Management

$4.1B

Fee Structure

This firm offers various investment management services, including wrap fee programs and advisory services. Fees vary based on the program chosen, the amount of assets managed, and the rate negotiated with your Financial Professional. Minimum account sizes vary by program. Clients also pay separately for trade execution and third-party sub-advisors in non-wrap advisory services.

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Areas of Practice

Investment ManagementRetirement PlanningFinancial Planning & Coaching

Advisor Information

Office location

9690 Deereco Road, Suite 650, Timonium, MD, 21093

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Regulatory History (1)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

July 2013

Settled

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Other Business ActivitiesSells Insurance

Richard is the President & Chief Marketing Officer of The L. Warner Companies, Inc., where he acts as an IAR rep and participates in fixed insurance sales. This takes about a quarter of his time. He also serves on the Finance Committee as a Board Member for Timonium Methodist Church, dedicating minimal time.