Full text of PLANMEMBER SECURITIES CORPORATION's X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNJTEDSTATES · **SECURITIESANDEXCHANGECOMMISSION** · · · **W~shing~on; h.c. 2"054\_9** · · # **ANNUAL AUDITE[)-REPORT FORM X-17A-5** - **PART Ill ·.** | .· 0MB APPROVAL . | | | | |----------------------------------|------------------|--|--| | 0MB Number: | . 3:?35·-0123 | | | | E_l:(pires:' | 'Augusf31,·20-20 | | | | Estimatep aven,!ge burd.en · | | | | | hours per--respof)\$es ,.12.00 | | | | | sE'.c' F.ILE'NUMBER . | |-----------------------| | 8--25065 | **FACING PAGE** **lnformatio~ Required of.Brokers and Dealers Pursuant to Sectio11. 17 of the Securities Exclfange Act of 1934 anil·Rule l 7a.;5 Thereunder** · | REPORT_F-OR THE PERIOD BEGINNING 1 /1 /-1 ~- | | AND ENDING 1.2/31 /19 | ---<br>-'--,,-----~ | | |-------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------|---------------------------------|--| | | MMIDDIYY | | MMIDDlYY ' | | | | A. REGIS'rRANT IDENTIFICA'.I'ION | | | | | NAME OF BROKER-DEALER: PlanMember Securities | | | OFFICIAl USE ·oNLY · | | | : ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | ,Flf{M 1.0. NO. | | | 618:7 Carpinteria Ave | | | | | | | (No. and .StreeQ | | | | | Carpinteria | CA | | 93013 | | | (City) | (State) | | (Zip Code) | | | NAME AN]) TELEPHONE NUMBER OF PERSON TO.CONT ACT IN REGARD TO THIS ~PORT<br>Bill Kemble; 805-684-1199 | | | (Are.a·Cqde - Telephone Number) | | | | B. ACCOUN'.J'ANT IDENTIFICATION | | | | | _INDEPENDENT PUBUC ACCOUNT ANT whose opi_nion is contained in this Report* | | | | | | !iUTCHI NSON ,& BLOQOGQOD,. LLP- | | | | | | | (Name.- ifinflividual, state last,-first, middle name) · · | | | | | 550 North ~rand Blvd, 14th Floor Glenoale<br>.<br>. ,· .<br>,•<br>:- | ,· | CA | 91203 | | | . (,Address) · | _(City) | (State) | (Zip Code), . | | | CHE~KONE: | | | | | | I<br>certfried Public Accountant | | | | | | a·.<br>Public Accountant<br>-: | | | | | | . · ,- ~ccountant ~~t· resident in United States.or any of its po.ssessio~s. | | | | | | '<br>' | ' | | | | | | | | | | | ____________<br>· I | '_o_R ___ o_,_,<br>_•c_•_A_L_\J_s_E_._o_N_L_Y | ____ ~- | ---<br>----'<br>- | | *\*Claims for exemption from the requirenJent that ·the annual report be covered by the opinion of an independent public aceouhtant must be supported by a stqtement of facts and circumstan~es.relied on.as the basis for the exemption: S…Read the full text as markdown