JG
Joel V. Gritten
PLANMEMBER SECURITIES
Yorba Linda, CA
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CRD#: 1065371
JG
Professional summary
Joel Vanis Gritten, CFP® is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Yorba Linda, California.
Joel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Joel has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Investment Planning
Debt Management
Insurance Planning
Employee and Employer Plan Ben...
Comprehensive Financial Planni...
Budgeting
Retirement Planning
Estate Planning
Are you a "fiduciary"?
Yes
Aliases
None
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.
1)JOEL GRITTEN; P.O.BOX 2047 YORBA LINDA CA. 92665-1247; JGRITTEN FINANCIAL (DBA) START DATE: 1/1/1984; AGENT;FIXED INSURANCE PRODUCTS;NUM OF HRS/MTH DEVOTED TO THIS BUS:10 NUM OF HRS/MTH DEVOTED TO THIS BUS DURING TRADING HRS:0;IR
2) TRADER JOE'S, 19655 YORBA LINDA BLVD YORBA LINDA, CA 9288; SINCE 10/03 ;GROCERY STORE, NON-INVESTMENT, SINCE 10/03;NUM OF HRS/MTH DEVOTED TO THIS BUS:10 NUM OF HRS/ ;MTH DEVOTED TO THIS BUS DURING TRADING HRS:0 NON-INVESTMENT
CRS (Client Relationship Summary) - RIA
Click below to view Joel Vanis Gritten's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joel Vanis Gritten's 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®
CFP®
Start date: 1993
Experience
Current
July 31, 2001 - Present
PLANMEMBER SECURITIES CORPORATION
Office #2: 20011 Glenhaven Drive, Yorba Linda, CA 92885RIA
BD
CRD#: 11869
Yorba Linda, CA
Current
July 8, 1994 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Yorba Linda, CA
Past
October 14, 1993 - May 25, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
January 30, 1991 - July 1, 1993
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
August 16, 1990 - October 31, 1990
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
May 15, 1990 - August 3, 1990
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
NEWPORT BEACH, CA
Past
November 7, 1989 - August 10, 1990
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
October 11, 1989 - November 7, 1989
VALUE EQUITIES CORPORATION
BD
CRD#: 13316
Past
February 26, 1987 - November 16, 1987
E.M.R. ENTERPRISES
BD
CRD#: 17986
Past
March 16, 1983 - July 5, 1984
FREEMAN FINANCIAL SERVICES CORPORATION
BD
CRD#: 6722
Past
November 9, 1982 - December 23, 1982
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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".
PS
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)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(7/8/1994)
IAR
California(7/31/2001)
RR
Colorado(6/4/2004)
RR
Georgia(2/2/2021)
RR
Mississippi(1/31/2006)
RR
Oregon(11/23/2021)
RR
Utah(8/19/2003)
RR
Washington(6/4/2004)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PS
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)BD
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
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.
