PLANMEMBER SECURITIES CORPORATION of CARPINTERIA, CA is an SEC-registered investment adviser (CRD 11869). Regulatory assets under management: $10.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Jon Michael Ziehl | PRESIDENT | — |
| Terrall Joseph Janeway | EVP/CHIEF OPERATING OFFICER | — |
| Byron Francis Bowman | CHIEF LEGAL OFFICER & SECRETARY | — |
| Sean Patrick Haley | CHIEF COMPLIANCE OFFICER | — |
| Steven R Hanson | CHIEF FINANCIAL OFFICER / FINOPS | — |
| ZIEHL JON MICHAEL | PRESIDENT; SHAREHOLDER CLASS A | — |
| KARFONTA JEFFREY FRANK | SVP FINANCE | — |
| FORD RICHARD HILLYARD | SVP BROKER DEALER | — |
| JANEWAY TERRALL JOSEPH | CHIEF OPERATING OFFICER; EVP/CHIEF OPERATING OFFICER; EVP/CHIEF OPERATING OFFICER/FINOP/CFO (+1 more) | — |
| STONEDAMEN PATRICIA MARIE | VICE PRESIDENT -CORPORATE LEGAL; VICE PRESIDENT LEGAL; VICE PRESIDENT LEGAL/CHIEF COMPLIANCE OFFICER (+1 more) | — |
| MURPHY DANIEL ANTHONY JR | CHIEF COMPLIANCE OFFICER/VP | — |
| BOWMAN EDWARD FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | — |
| CHRISTIAN CHARLIE KENT | EVP SALES & BUSINESS DEVELOPMENT | — |
| HALEY SEAN PATRICK | CHIEF COMPLIANCE OFFICER | — |
| VALENZUELA ABDIEL ALAN | VP OF COMPLIANCE/CCO | — |
| NEPERUD STEVEN JEROME | VICE PRESIDENT BUSINESS DEVELOPMENT | — |
| LONDON ROBERT SCOTT | SHAREHOLDER CLASS B | — |
| HILLS AUSTIN EDWARD | SHAREHOLDER SERIES A | — |
| ZIEHL DEAN ALAN | SHAREHOLDER SERIES A | — |
| COLLINS MARIE ESTES | SHAREHOLDER SERIES B | — |
| KEMBLE WILLIAM STARR | SR. VICE PRESIDENT FINANCE/FINOP/CFO; VICE PRESIDENT FINANCE/FINOP | — |
| HANSON STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-07-03 | regulatory | DURING THE PERIOD JULY 2012 AND JUNE 2016, PLANMEMBER FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND REGULATIONS, AND WITH APPLICABLE NASD AND FINRA RULES, WITH R… | Final | $90K |
| 2019-03-11 | regulatory | AT TIMES DURING THE PERIOD JANUARY 1, 2014 TO JUNE 30, 2018 (THE "RELEVANT PERIOD"), RESPONDENT PURCHASED, RECOMMENDED, OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS FOR WHICH THE CLIENTS WERE ELIGIBLE. RESPONDENT… | Final | — |
| 2018-01-18 | regulatory | DURING THE PERIOD OCTOBER 2, 2015, THROUGH DECEMBER 31, 2015, APPLICANT IS ALLEGED TO HAVE COMMITTED MUNICIPAL SECURITIES FAIR PRICING AND RELATED SUPERVISION VIOLATIONS WITH RESPECT TO 8 TRANSACTION IN 3 ACCOUNTS, IN VIOLATION OF MUNICIPAL SECURITIES RULEMAKING BOARD ("MSRB") RULES G-17, G-27, AND… | Final | $19K |
| 2009-10-21 | regulatory | NASD RULES 2110, 3010-PLANMEMBER OUTSOURCED ITS MUTUAL FUND BREAKPOINT DETERMINATIONS TO A THIRD PARTY VENDOR. DUE TO A SOFTWARE PROGRAMMING ERROR, PLANMEMBER'S VENDOR FAILED TO TAKE CERTAIN B SHARES INTO CONSIDERATION WHEN DETERMINING PLANMEMBER'S CUSTOMERS' BREAKPOINTS. AS A RESULT, THE FIRM'S CUS… | Final | $20K |
| 2008-11-26 | regulatory | SEC RULE 17A-3, NASD RULES 2830(M)(1), 3110 - APPLICANT RECEIVED CHECKS FROM PUBLIC CUSTOMERS FOR PAYMENT OF DIRECT RETAIL TRANSACTIONS FOR INVESTMENT COMPANY SHARES; SOME OF THE CHECKS WERE NOT TRANSMITTED BY EITHER THE END OF THE THIRD BUSINESS DAY FOLLOWING RECEIPT OF A CUSTOMER'S ORDER TO PURCHA… | Final | $5K |