Richard Johnson Chaffee

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
MN	RA	APPROVED	2013-11-05

MN RA
APPROVED

Since 2013-11-05

Branch Locations

11100 Wayzata Blvd Ste 220, Minnetonka, MN 55305 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Chaffee & Associates	Edina	MN	07/2005	Present
M Holdings Securities, Inc.	Portland	OR	10/2009	Present

07/2005 → Present

Chaffee & Associates

Edina, MN
10/2009 → Present

M Holdings Securities, Inc.

Portland, OR

Other Businesses

1. Chaffee & Associates, LLC; 11100 Wayzata Boulevard, Suite 220, Minnetonka, MN 55305; 05/2005; CEO; Sales, Marketing & Management; Investment Related; 175 hours/month; 175 hours/month during business hours; Commissions, Planning Fees, M Financial Stock/ICP 2. Chaffee & Associates 401k and Profit Sharing Plan; 11100 Wayzata Boulevard, Suite 220, Minnetonka, MN 55305; 08/2005; Trustee; Investment Related; 1 hour/month; 1 hour/month during business hours; No Compensation. 3. 2015 JARRETT FAMILY IRREVOCABLE GST EXEMPT TRUST; 11100 Wayzata Blvd, Suite 220, Minnetonka MN 55305; Family Irrevocable GST Exempt Trust; Investment related; Trustee; Attends investment review meetings qtrly with Grantor (Gary Jarrett) and Investment Advisor (Keel Point); 7/15/2015; 1 hour per month; 1 hour per month during trading hours. 4. 2015 JARRETT FAMILY IRREVOCABLE GST NON-EXEMPT TRUST; 11100 Wayzata Blvd, Suite 220, Minnetonka MN 55305; Family Irrevocable GST Non-Exempt Trust; Investment related; Trustee; Attends investment review meetings qtrly with Grantor (Gary Jarrett) and Investment Advisor (Keel Point); 7/15/2015; 1 hour per month; 1 hour per month during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1999-02-01

S63 Uniform Securities Agent State Law Examination

1999-02-01

Designations

Chartered Financial Consultant

View on SEC IAPD