Steven E. Barron
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Elton Barron was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 12 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2021 - September 18, 2023
PLANMEMBER SECURITIES CORPORATION
December 7, 2021 - September 18, 2023
PLANMEMBER SECURITIES CORPORATION
September 15, 2009 - December 8, 2021
GWN SECURITIES INC.
September 15, 2009 - December 8, 2021
GWN SECURITIES INC.
April 13, 2006 - September 17, 2009
VOYA FINANCIAL PARTNERS, LLC
June 12, 2003 - March 13, 2006
AMERICAN FIDELITY SECURITIES, INC.
July 13, 2001 - December 20, 2002
PMG SECURITIES CORPORATION
May 3, 2001 - July 10, 2001
BRECEK & YOUNG ADVISORS, INC.
November 13, 2000 - March 21, 2001
BRECEK & YOUNG ADVISORS, INC.
September 26, 1997 - November 20, 2000
VOYA FINANCIAL ADVISORS, INC.
January 12, 1990 - September 29, 1997
TITAN/VALUE EQUITIES GROUP, INC.
December 1, 1988 - January 18, 1990
KMS FINANCIAL SERVICES, INC.
December 10, 1987 - December 12, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 27, 1985 - November 16, 1987
LFG SECURITIES, INC.
March 22, 1984 - April 8, 1985
WZW FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
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 | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
