Charles E. Croft

PLANMEMBER SECURITIES

Agoura Hills, CA 91301

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CRD#: 1026714

Professional summary

Charles Edward Croft, who also goes by Charleas Edward Croft, Charlie Croft, is a registered financial professional currently at PLANMEMBER SECURITIES CORPORATION located in Agoura Hills, California.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1982. Charles has worked at 7 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charleas Edward Croft | Charlie Croft

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Edward Croft's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 13, 2016 - Present

PLANMEMBER SECURITIES CORPORATION

Office #1: 28720 Roadside Drive, Suite 315, Agoura Hills, CA 91301

RIA

CRD#: 11869

Agoura Hills, CA

Past

January 3, 2011 - September 9, 2016

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

AGOURA HILLS, CA

Past

June 30, 2004 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

AGOURA HILLS, CA

Past

April 10, 1996 - June 30, 2004

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

August 1, 1995 - April 9, 1996

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

December 3, 1991 - August 1, 1995

LFG SECURITIES, INC.

CRD#: 5374

Past

June 19, 1987 - December 31, 1989

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

March 6, 1984 - June 11, 1986

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

February 2, 1982 - February 27, 1984

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PLANMEMBER SECURITIES CORPORATION

INVESTORS RETIREMENT & MANAGEMENT CORPORATION | PLANMEMBER SECURITIES CORPORATION | IRM DISTRIBUTORS, INC.

CRD#: 11869 / SEC#: 801-39177, 8-25065

RIA

Registered Investment Advisory firm - SEC (6/27/1991 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(9/14/2016)

Colorado
(10/19/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/26/1982

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PLANMEMBER SECURITIES CORPORATION

INVESTORS RETIREMENT & MANAGEMENT CORPORATION | PLANMEMBER SECURITIES CORPORATION | IRM DISTRIBUTORS, INC.

CRD#: 11869 / SEC#: 801-39177, 8-25065

RIA

Registered Investment Advisory firm - SEC (6/27/1991 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

6187 Carpinteria Avenue, Carpinteria, CA 93013

Mailing Address

6187 Carpinteria Avenue, Carpinteria, CA 93013-2060

Phone number

(805) 684-1199

Established

California since 03/12/1982

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

432

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PLANMEMBER WRAP FEE PROGRAM ELITE STRATEGIST DECEMBER 2024 (3/31/2025)

PLANMEMBER SCARBOROUGH BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER OPTIFUND BROCHURE 2023 MARCH (3/31/2025)

PLANMEMBER NON-PLATFORM IRA BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER SCHWAB IAR PROGRAM FEBRUARY 2025 (3/31/2025)

PLANMEMBER RETIREMENT INVESTMENT BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER Q8P IAR PROGRAM 2023 MARCH (3/31/2025)

PLANMEMBER WRAP FEE PROGRAM INVESTMENT SAVINGS PLUS (3/31/2025)

PLANMEMBER PREFERENCE AND IAR BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER WORKPLACE ADVISORY PROGRAM 2023 MARCH (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
PLANMEMBER FINANCIAL CORPORATION	OWNER
BOWMAN, BYRON FRANCIS	CHIEF LEGAL OFFICER & SECRETARY	2673117
HALEY, SEAN PATRICK	CHIEF COMPLIANCE OFFICER	2837579
HANSON, STEVEN R	CHIEF FINANCIAL OFFICER / FINOPS	4854600
JANEWAY, TERRALL JOSEPH	EVP/CHIEF OPERATING OFFICER	2947154
ZIEHL, JON MICHAEL	PRESIDENT	707642

Regulatory assets under management

Total Number of Accounts	68,978
AUM (Assets Under Management)	$ 9,035,509,268

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/21/2022	Cover Page	Report
12/21/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Charles E. Croft

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Edward Croft's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL ADVISORS, INC.

OSAIC WEALTH, INC.

LFG SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

METLIFE INVESTORS DISTRIBUTION COMPANY

Primary Firm SEC Registration

PLANMEMBER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 6

Date: 1/26/1982

FINRA

Current Firm

PLANMEMBER SECURITIES CORPORATION

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PLANMEMBER SECURITIES CORPORATION

TRUST BUT VERIFY

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