Planmember Securities Corporation

Registered investment adviser · Carpinteria, CA · CRD #11869

Form ADV data as of 2026-09-01

Regulatory assets

$10.12 billion

Total accounts

69,645

Employees

429

Disclosure events

Firm details

Website: http://www.planmember.com
Telephone: 805-684-1199
SEC file number: 801-39177
Most recent Form ADV filing: 2026-08-05
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 4 disclosure questions answered Yes, covering 5 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$10.12 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$10.12 billion
Discretionary accounts	69,645
Non-discretionary accounts	0
Total accounts	69,645
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	429
Employees performing investment advisory functions (including research)	425
Employees who are registered representatives of a broker-dealer	425
Employees registered as investment adviser representatives with a state	425
Employees registered as IARs for another investment adviser	9
Employees who are licensed insurance agents	425
Firms or persons who solicit advisory clients on the firm's behalf	291

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$7.55 billion
Clients for whom the firm has custody	68,721
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	Yes
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)Commissions

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsOther

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Affiliated related persons

Other investment adviser (including financial planners)

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	68,543	$7.71 billion
High net worth individuals	898	$1.48 billion
Pension and profit sharing plans (not the participants or government plans)	126	$900.0 million
Charitable organizations	22	$7.7 million
Corporations or other businesses not listed above	56	$21.5 million