Broker-dealer firm · Carpinteria, CA
Planmember Securities Corporation
SEC-registered investment adviser · CRD 11869 · SEC 801-39177
At a glance
Planmember Securities Corporation is an SEC-registered investment adviser based in Carpinteria, California, with $10.1 billion in regulatory assets under management as of its Form ADV filed September 17, 2026. Its largest client group by assets is individuals, and it reports 69,441 individual clients. By Form ADV it is a broker-dealer firm, ranked 66th of 391 broker-dealer firms and 1,356th of 17,210 SEC-registered advisers by assets.
Main office 805-684-1199planmember.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $10B
- Rank among broker-dealer firms
- #66 of 391
- Rank among all SEC RIAs
- #1,356 of 17,210
- Rank in California
- #143 of 1,873
- Individual clients
- 69,441
- High-net-worth clients
- 898
- Accounts
- 69,645
- Discretionary
- 100% of AUM
- Employees
- 429
- Advisory staff
- 425
- Offices
- 351
Owners and executives on its Form ADV
- Jon Michael ZiehlPresident
- Terrall Joseph JanewayEvp/chief Operating Officer
- Byron Francis BowmanChief Legal Officer & Secretary
- Sean Patrick HaleyChief Compliance Officer
- Steven R HansonChief Financial Officer / Finops
Custody and brokerage
Custodian
Planmember Securities Corporation’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Planmember Securities Corporation is a hybrid RIA: 425 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed September 2026) names PlanMember Securities as the broker-dealer its advisers are registered with.
PSEC Professionals are associated with PlanMember Securities Corporation (“PSEC”), a dually registered investment adviser and securities broker/dealer, as Registered Representatives or Investment Adviser Representatives.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 68,543 | $7.7B | 76% |
| High-net-worth individuals | 898 | $1.5B | 15% |
| Pension and profit sharing plans | 126 | $900M | 9% |
| Corporations or other businesses | 56 | $22M | <1% |
| Charitable organizations | 22 | $8M | <1% |
Disciplinary disclosures
Planmember Securities Corporation answers yes to 5 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗planmember.com ↗
AtlasMembers
The full record on Planmember Securities Corporation
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 73 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Planmember Securities Corporation manage?
Planmember Securities Corporation reports $10.1 billion in regulatory assets under management across 69,645 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 17, 2026.
What kind of firm is Planmember Securities Corporation?
Planmember Securities Corporation is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. A public reporting company controls it.
Who are Planmember Securities Corporation’s clients?
By assets, its largest client types are individuals ($7.7 billion, 68,543 clients); high-net-worth individuals ($1.5 billion, 898 clients); pension and profit sharing plans ($900 million, 126 clients).
Does Planmember Securities Corporation have any disciplinary history?
Planmember Securities Corporation answers yes to 5 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Planmember Securities Corporation’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-17), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →