SC
Sandra L. Chapman
PLANMEMBER SECURITIES
Reno, NV 89502
Some features on this profile are disabled
CRD#: 1069581
SC
Professional summary
Sandra Lee Chapman, CFP®, who also goes by Sandra Lee Nichol, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Reno, Nevada.
Sandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Sandra has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.
Question & Answer
What are your service offerings?
Tax Planning
Investment Planning
Employee and Employer Plan Ben...
Retirement Planning
Comprehensive Financial Planni...
Insurance Planning
Are you a "fiduciary"?
Yes
Aliases
Sandra Lee Nichol
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.
CHAPMAN FINANCIAL GROUP, INC; 1890 DONALD STREET IN RENO, NV - START DATE 1987; INVESTMENT-RELATED;OWNER;FINANCIAL PLANNING, INSURANCE SERVICES; 6 TO 8 HOURS A MONTH 1 DURING TRADING A MONTH;SANDRA CHAPMAN;5156 ASPEN VIEW, RENO, NV ;7/1/2004;RENTAL PROPERTY;NOT INVESTMENT RELATED;PERSONAL RENTAL PROPERTY;HOURS/MONTH DEVOTED TO THIS BUSINESS:0 ;. NUMBER OF HOURS/MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS:0
CRS (Client Relationship Summary) - RIA
Click below to view Sandra Lee Chapman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sandra Lee Chapman'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: 1991
Experience
Current
July 18, 2008 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 1890 Donald Street, Suite C, Reno, NV 89502RIA
BD
CRD#: 11869
Reno, NV
Current
July 18, 2008 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 1890 Donald Street, Suite C, Reno, NV 89502RIA
BD
CRD#: 11869
Reno, NV
Past
January 11, 1995 - July 24, 2008
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
RENO, NV
Past
December 16, 1994 - January 9, 1995
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
Past
August 25, 1989 - December 20, 1994
FIRST AFFILIATED SECURITIES
BD
CRD#: 23737
LA JOLLA, CA
Past
January 7, 1988 - August 25, 1989
PFG SECURITIES, INC.
BD
CRD#: 15401
Past
September 19, 1984 - February 3, 1988
UR FINANCIAL, INC.
BD
CRD#: 10509
Past
October 25, 1982 - October 16, 1984
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
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
Alabama(10/26/2022)
RR
Arizona(10/26/2022)
RR
California(7/18/2008)
RR
Colorado(11/23/2009)
RR
Florida(7/18/2008)
RR
Hawaii(1/14/2010)
RR
Minnesota(5/23/2023)
RR
Nevada(7/18/2008)
IAR
Nevada(7/18/2008)
RR
New Mexico(10/26/2022)
RR
Oregon(7/18/2008)
RR
Washington(7/18/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
