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