William C Faassen

Employer firm

M Holdings Securities, Inc. CRD 43285

$3.21B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

M Holdings Securities, Inc.

1125 N.W. Couch Street Suite 900, Portland, OR 97209 • United States

Current Registrations

Authority	Category	Status	Date
AL	RA	APPROVED	2024-11-11
WY	RA	APPROVED	2024-09-13
PA	RA	APPROVED	2023-03-21
IL	RA	APPROVED	2023-02-01
NC	RA	APPROVED	2023-02-01
FL	RA	APPROVED	2016-03-21

AL RA
APPROVED

Since 2024-11-11
WY RA
APPROVED

Since 2024-09-13
PA RA
APPROVED

Since 2023-03-21
IL RA
APPROVED

Since 2023-02-01
NC RA
APPROVED

Since 2023-02-01
FL RA
APPROVED

Since 2016-03-21

Branch Locations

5550 W. Executive Dr., Ste. 500, Tampa, FL 33609 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
M Holdings Securities, Inc.	Portland	OR	03/2016	Present
Thomas Financial Group	Tampa	FL	03/2016	Present

03/2016 → Present

M Holdings Securities, Inc.

Portland, OR
03/2016 → Present

Thomas Financial Group

Tampa, FL

Previous Registrations

2009-06-01 → 2016-04-11

Morgan Stanley

Clearwater, FL
2007-01-19 → 2009-06-01

Citigroup Global Markets Inc.

Clearwater, FL

Other Businesses

1) Thomas Financial; 5550 W. Executive Drive, #500, Tampa, FL 33609; 02/16/2016; Registered Rep; Sale of variable products and wealth management services; Investment related; 160 hours/month; 160 hours/month during business hours; Commissions. 2) Chartbender LLC; 1512 Merlot Court, Oldsmar, FL 34677; 11/26/2019; Member; LLC receives revenue from work done with Thomas Financial Group; Not Investment related; 1 hour/month; 1 hour/month during business hours; Profits, wages/salary. 3) JDS Trust; Florida; Not investment related; Trustee; Ensure the language in the trust is adhered to; 2026; 10 ho/mo; 4 ho/mo during trading hours. 4) SRM Trust; Florida; Not investment related; Trustee; Ensure the language in the trust is adhered to; 2026; 10 ho/mo; 4 ho/mo during trading hours. 5) NJM Irr Trust; Florida; Investment related; Trustee; Monitoring insurance policy and issuing crummey notices; 2026; 1 ho/mo; 1 ho/mo during trading hours. 6) SRM Irr Trust; Florida; Investment related; Trustee; Monitoring insurance policy and issuing crummey notices; 2026; 1 ho/mo; 1 ho/mo during trading hours. 7) JDS Irr Trust; Florida; Investment related; Trustee; Monitoring insurance policy, asset allocation, and issuing crummey notices; 2026; 1 ho/mo; 1 ho/mo during trading hours. 8) AM Irr Trust; Florida; Investment related; Trustee; Monitoring insurance policy, asset allocation, and production and dissemination of crummey notices; 2026; 1 ho/mo; 1 ho/mo during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-01-17

S66 Uniform Combined State Law Examination

2007-01-17

Designations

Certified Financial Planner

Other Names

Craig Faassen

View on SEC IAPD