PLANMEMBER SECURITIES CORPORATION
Adviser information for PLANMEMBER SECURITIES CORPORATION last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 427 |
|---|---|
| Investment Advisory/Research | 427 |
| Registered Broker-Dealer Representatives | 427 |
| Registered State Investment Advisers | 423 |
| Licensed Agents of an Insurance Company | 415 |
| No. of Firms/People that Solicit Clients | 290 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 69,347 | $8.3B |
| Non-Discretionary | 0 | $0 |
| Total | 69,347 | $8.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 67,413 | $6.7B |
| HNW Individuals | 392 | $662.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 80 | $885.5M |
| Charitable organizations | 80 | $8.3M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 69 | $33.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 100 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsPROVIDES INVESTMENT SUPERVISORY SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 1,111 |
| Portfolio Manager | 0 |
| Both for Same | 6.8B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PLANMEMBER SECURITIES -- PREFERENCE PROGRAM | PLANMEMBER SECURITIES CORPORATION |
| PLANMEMBER SECURITIES -- STRATEGIST PROGRAM | PLANMEMBER SECURITIES CORPORATION |
| PLANMEMBER SECURITIES -- NON-PLATFORM IAR PROGRAM | PLANMEMBER SECURITIES CORPORATION |
| PLANMEMBER SECURITIES -- ADVISOR PROGRAM | PLANMEMBER SECURITIES CORPORATION |
Identifiers
| SEC RIA File Number | 801-39177 |
|---|---|
| SEC ERA File Number | 801-39177 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 11869 |
| Legal Entity Identifier | None |
Principal Office
6187 CARPINTERIA AVENUECARPINTERIA
CA
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: 805-684-1199, Fax: 805-684-3500
Chief Compliance Officer
SEAN P. HALEY
CHIEF COMPLIANCE OFFICER
6187 CARPINTERIA AVENUE
CARPINTERIA
CA
United States
Tel:
(805) 684-1199 EXT. 2313
Fax:
(805) 684-4865
S*****@*************M
(Full email address available in API data)
Regulatory Contact
BYRON BOWMAN
GENERAL COUNSEL
6187 CARPINTERIA AVENUE
CARPINTERIA
CA
United States
Tel:
(805) 684-1199 EXT. 2555
Fax:
(805) 684-4865
B******@*************M
(Full email address available in API data)
Industry Affiliates
| PLANMEMBER ASSET MANAGEMENT CORPORATION | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ZIEHL, JON MICHAEL | Individual | – | PRESIDENT | 09/1984 | < 5% |
| PLANMEMBER FINANCIAL CORPORATION | Domestic Entity | – | OWNER | 12/1991 | > 75% |
| JANEWAY, TERRALL JOSEPH | Individual | – | EVP/CHIEF OPERATING OFFICER | 06/2022 | < 5% |
| EQUITABLE DISTRIBUTION HOLDING CORPORATION | Domestic Entity | PLANMEMBER FINANCIAL CORPORATION | SHAREHOLDER SERIES E PREFERRED | 02/2013 | 25-50% |
| BOWMAN, BYRON FRANCIS | Individual | – | CHIEF LEGAL OFFICER & SECRETARY | 02/2014 | < 5% |
| ZIEHL, JON MICHAEL | Individual | PLANMEMBER FINANCIAL CORPORATION | PRESIDENT | 09/1984 | > 75% |
| EQUITABLE HOLDINGS INC. | Domestic Entity | EQUITABLE FINANCIAL SERVICES, LLC | MEMBER | 10/2018 | > 75% |
| EQUITABLE FINANCIAL SERVICES, LLC | Domestic Entity | EQUITABLE DISTRIBUTION HOLDING CORPORATION | SHAREHOLDER | 06/2002 | > 75% |
| HALEY, SEAN PATRICK | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2019 | < 5% |
| HANSON, STEVEN R | Individual | – | CHIEF FINANCIAL OFFICER / FINOPS | 01/2024 | < 5% |