Jeffrey M. Pickholtz
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.
Jeffrey Mark Pickholtz, who also goes by Jeff Pickholtz, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1982. Jeffrey had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2016 - February 10, 2020
PLANMEMBER SECURITIES CORPORATION
January 6, 2016 - February 10, 2020
PLANMEMBER SECURITIES CORPORATION
June 17, 2003 - December 23, 2015
AMERICAN HERTITAGE FINANCIAL ADVISORS, LLC
August 19, 1999 - January 7, 2016
OSAIC WEALTH, INC.
August 10, 1995 - January 7, 2016
OSAIC WEALTH, INC.
January 20, 1992 - August 16, 1995
ALLSTATE FINANCIAL SERVICES, LLC
February 12, 1991 - October 31, 1991
THE GREAT-WEST LIFE ASSURANCE COMPANY
May 19, 1989 - February 11, 1991
EMPOWER FINANCIAL SERVICES, INC.
February 9, 1989 - August 29, 1989
GREEN HILL FINANCIAL SERVICE CORPORATION
September 6, 1988 - February 14, 1989
PRINCIPAL SECURITIES, INC.
August 23, 1982 - August 31, 1988
FUNDSELECT ADVISERS, 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
Current 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.
