Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
KEITH RYAN FISHER
CRD#: 4321167
IA
Investment Adviser
B
Broker
M HOLDINGS SECURITIES, INC.CRD#: 43285 7979 E TUFTS
SUITE 1550
DENVER, CO 80237
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2004 (3 years)2 FIRMS2004 - 2013 (9 years)2 FIRMS2013 - Present (11 years)
License(s)

State Registrations

B
Alabama 2/5/2024
B
Nevada 7/6/2021
B
Alaska 8/1/2013
B
New Mexico 4/14/2023
B
Arizona 9/4/2019
B
New York 11/10/2017
B
California 8/1/2013
B
North Carolina 8/1/2013
IA
California 2/1/2023
B
Ohio 5/9/2024
B
Colorado 8/1/2013
B
Oklahoma 8/18/2021
IA
Colorado 8/1/2013
B
Oregon 8/1/2013
B
Connecticut 11/21/2024
B
South Carolina 11/17/2021
B
Florida 10/10/2019
B
South Dakota 2/5/2024
B
Illinois 1/26/2022
B
Tennessee 11/21/2024
B
Iowa 8/1/2013
B
Texas 11/10/2017
B
Kansas 11/10/2017
B
Utah 6/3/2020
B
Louisiana 11/21/2024
B
Virginia 11/10/2017
B
Missouri 8/1/2013
B
Washington 11/7/2018
B
Montana 4/29/2020
B
Wisconsin 2/5/2024
B
Nebraska 9/4/2019
B
Wyoming 11/10/2017

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
M HOLDINGS SECURITIES, INC. (CRD#:43285)
7979 E TUFTS SUITE 1550, DENVER, CO 80237
Registered with this firm since 8/1/2013
B
M HOLDINGS SECURITIES, INC. (CRD#:43285)
7979 E TUFTS SUITE 1550, DENVER, CO 80237
Registered with this firm since 8/1/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/12/2004 - 08/15/2013 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) DENVER, CO
B
 05/12/2004 - 08/15/2013 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) DENVER, CO
IA
 10/05/2001 - 05/06/2004 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) DENVER, CO
B
 02/12/2001 - 05/06/2004 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.