PLANMEMBER SECURITIES CORPORATION
Latest filing: Mar 29, 2024 (215 days ago)
AUM
$8,275,617,707
10% change vs. 1 year ago
34% change vs. 3 years ago
93% change vs. 5 years ago
171% change vs. 10 years ago
Employee Count
427
-7% change vs. 1 year ago
58% change vs. 3 years ago
56% change vs. 5 years ago
-23% change vs. 10 years ago
Main Office
CARPINTERIA, CA
6187 CARPINTERIA AVENUE, CARPINTERIA, CA, UNITED STATES, 93013
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $8.3 |
| Non-Discretionary | $0.0 |
| Total | $8.3 |
| Client | AUM |
|---|---|
| Retail | $7.3 |
| Pooled | $0.0 |
| Institutional | $0.9 |
| Total | $8.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 67,413 | $6.7 |
| Average Individual AUM | $99,190 | |
| HNW | 392 | $0.7 |
| Average HNW AUM | $1,688,902 | |
| Retail Total | 67,805 | $7.3 |
| Average Retail AUM | $108,381 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $8.3 |
| Retail SMA AUM | $7.3 |
| Institutional SMA AUM | $0.9 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 1% | $0.1 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 1% | $0.1 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.1 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 99% | $8.2 |
| Other Pools | 0% | $0.0 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 102% | $8.4 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| PLANMEMBER ASSET MANAGEMENT CORPORATION | $0.0 | 289591 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
10 active
| Name | Title |
|---|---|
| ZIEHL, JON MICHAEL | PRESIDENT, PRESIDENT |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS |
ADVDB.CO • SOURCE: SEC
Representatives
430 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| JOHN ITALIANO | CARPINTERIA | CA | S63|2010-02-13|S66|2021-11-08 | ||||||
| DAVID KUGA | CARPINTERIA | CA | S66|2001-09-13 | ||||||
| DORCITY PHIPPS | CARPINTERIA | CA | S63|2001-08-25 | ||||||
| ISAAC FLORES GUZMAN | CARPINTERIA | CA | S63|2019-08-21|S65|2023-12-28 | ||||||
| JAMES SMOOGEN | CARPINTERIA | CA | S63|2005-08-01 | ||||||
| BOBBY WATSON | CARPINTERIA | CA | S63|2000-01-24|S65|2022-12-31 | ||||||
| EDWARD WETTIG | CARPINTERIA | CA | S66|1999-09-01 | CERTIFIED FINANCIAL PLANNER | |||||
| DAVID GAUTHIER | CARPINTERIA | CA | S65|2020-10-16 | ||||||
| GREGORY HAYDEN | CARPINTERIA | CA | S63|1992-10-22 | CERTIFIED FINANCIAL PLANNER | |||||
| MATTHEW GUYETTE | CARPINTERIA | CA | S63|1996-03-08|S66|2006-07-07 | ||||||
| LANCE DEGRAZIER | CARPINTERIA | CA | S63|1991-02-01 | ||||||
| JOSEPH CRAW | CARPINTERIA | CA | S63|1988-04-13|S65|1996-04-15 | ||||||
| JOSEPH CHALOM | CARPINTERIA | CA | S65|2011-06-26|S66|1998-04-10 | ||||||
| ROBERT CHRISTIAN | CARPINTERIA | CA | S63|2007-04-25|S66|2022-08-09 | ||||||
| DAVID PAYNE | CARPINTERIA | CA | S63|1999-12-07|S65|1999-12-06 | ||||||
| TERRY DUHAMEL | CARPINTERIA | CA | S63|1997-04-02|S65|1997-04-02 | ||||||
| ROSEMARY STEVENS | CARPINTERIA | CA | S63|1996-06-07|S65|2007-10-18 | ||||||
| STEVEN TURNER | CARPINTERIA | CA | S65|2023-08-01|S63|2023-06-23 | ||||||
| LEE SPESHYOCK | CARPINTERIA | CA | S65|2023-01-12 | ||||||
| DONALD BENNETT | CARPINTERIA | CA | S63|1993-01-12 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $8.3 | $0.0 | 0% | 427 | 0 | 0% |
| 2024-04-02 | $8.3 | $0.0 | 0% | 427 | 0 | 0% |
| 2023-04-04 | $7.5 | $0.7 | 10% | 459 | -32 | -7% |
| 2022-04-01 | $8.2 | $0.1 | 1% | 319 | 108 | 34% |
| 2021-04-05 | $6.2 | $2.1 | 34% | 270 | 157 | 58% |
| 2020-04-01 | $4.3 | $4.0 | 93% | 274 | 153 | 56% |
| 2019-04-01 | $4.3 | $4.0 | 93% | 274 | 153 | 56% |
| 2018-04-02 | $4.2 | $4.1 | 98% | 264 | 163 | 62% |
| 2017-04-01 | $3.2 | $5.1 | 163% | 635 | -208 | -33% |
| 2016-04-01 | $2.6 | $5.6 | 214% | 615 | -188 | -31% |
| 2015-04-01 | $3.3 | $4.9 | 148% | 549 | -122 | -22% |
| 2014-04-01 | $3.1 | $5.2 | 171% | 553 | -126 | -23% |
| 2013-04-01 | $2.6 | $5.7 | 218% | 443 | -16 | -4% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CA, AK-03/24/1998, AL-05/02/2000, AR-04/18/2000, AZ-02/10/1998, CA-07/08/1997, CO-09/04/2001, CT-04/02/1998, DC-01/19/2006, DE-07/28/2003, FL-04/20/1995, GA-06/09/1998, HI-04/16/1999, IA-04/18/2000, ID-03/20/1998, IL-02/09/1998, IN-02/13/2001, KS-04/18/2000, KY-01/19/2006, LA-10/15/2001, MA-04/18/2000, MD-07/15/1991, ME-05/02/2000, MI-02/05/1998, MN-03/24/2000, MO-05/11/2000, MS-04/19/2000, MT-01/28/2000, NC-02/05/2001, ND-04/24/2000, NE-05/10/2001, NH-04/17/2000, NJ-02/10/1998, NM-04/19/2000, NV-03/17/1998, NY-02/02/1998, OH-10/14/1999, OK-04/18/2000, OR-01/19/2006, PA-09/04/2001, PR-03/28/2014, RI-04/20/2000, SC-10/13/1999, SD-04/20/2000, TN-03/30/1998, TX-01/13/1998, UT-10/12/1999, VA-04/19/2000, VT-04/17/2000, WA-01/31/1995, WI-09/04/2001, WV-04/19/2000, WY-03/30/2018 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV