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Chief Compliance Officer · Planmember Securities Corporation

Sean Patrick Haley

CRD 2837579 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Planmember Securities Corporation, an SEC-registered broker-dealer firm based in Carpinteria, CA with $10.1 billion in regulatory assets, lists Sean Patrick Haley on its Form ADV as Chief Compliance Officer. The SEC filings also name Sean at 1 other registered adviser.

Firms and roles

AtlasMembers

Sean’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
2 firmsLocked
Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Sean’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.