TrueAdvisor
TrueAdvisor
RS
ChFC
RS
ChFC

Richard Spivey

M Holdings Securities, INC.
44 Years of Experience
Timonium, MD
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Richard Spivey is a ChFC-designated registered investment advisor at M Holdings Securities, INC., based in Timonium, MD, with 44 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Corporate Executives, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 4,513 clients with $3.2B in assets under management.

M Holdings Securities, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
340 advisors
Number of Clients
4,513 clients
Average Client Portfolio
$710K average
Assets Under Management
$3.2B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.30%
$1.0M - $3.0M1.25%
$3.0M - $5.0M1.20%
$5.0M - $10.0M1.10%
$10M+1.05%

Schedule reflects maximum M Wealth customized sub-advisory fees. Other advisory programs negotiate fees up to a maximum of 3%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

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

Get directions

History

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
View Full SEC ReportHow to Read Disclosures
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.

Employment History
Current Registrations
M Holdings Securities, INC.Broker
August 2016 - Present · 10 yrs 2 mos
The L. Warner Companies, INC
August 2016 - Present · 10 yrs 2 mos
Previous Registrations
United Brokerage Services INC
February 2014 - August 2016 · 2 yrs 6 mos
United Brokerage Services, INCBroker
October 2011 - August 2016 · 4 yrs 10 mos
M Holdings Securities, INC.Broker
June 2009 - October 2011 · 2 yrs 4 mos
Woodbury Financial Services, INC.
January 2005 - July 2009 · 4 yrs 6 mos
Woodbury Financial Services, INC.Broker
December 2004 - July 2009 · 4 yrs 7 mos
Trusted Securities Advisors CORP.Broker
March 2002 - December 2003 · 1 yr 9 mos
Mony Securities CorporationBroker
June 2000 - December 2004 · 4 yrs 6 mos
Mutual Service CorporationBroker
October 1995 - June 2000 · 4 yrs 8 mos
Mony Securities CORP.Broker
October 1982 - October 1995 · 13 yrs
State Registrations11 states
DCDEFLMDNCOHPARISCVAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Timonium, MD →All financial advisors in Maryland →