MZ
Marc E. Zimmerman
PLANMEMBER SECURITIES
Farmingville, NY 11738
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CRD#: 1096580
MZ
Professional summary
Marc Eric Zimmerman is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Farmingville, New York.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Marc has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
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) Mutual Inc / Daybright Financial - 2410 N. Ocean Ave, Ste 401,Farmingville,NY 11738; Investment related; Securities & Insurance Sales & Svcs; Representative; Start date 11/16; 10 hrs/mnth & during trading. 2)Marc Zimmerman; 2410 North Ocean Avenue, suite 500 Farmingville NY 11738; Agent; life insurance sales and service; state date 10/9/2018; 6 hrs/mo 6 hrs/mo during trading; IR
CRS (Client Relationship Summary) - RIA
Click below to view Marc Eric Zimmerman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marc Eric Zimmerman'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®
NoneExperience
Current
July 26, 2021 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2410 North Ocean Avenue, Suite 401, Farmingville, NY 11738RIA
BD
CRD#: 11869
Farmingville, NY
Current
November 16, 2016 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2410 North Ocean Avenue, Suite 401, Farmingville, NY 11738RIA
BD
CRD#: 11869
Farmingville, NY
Past
March 28, 1994 - November 17, 2016
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
BOHEMIA, NY
Past
September 28, 1992 - February 24, 1994
INVESTORS ASSOCIATES, INC.
BD
CRD#: 958
HACKENSACK, NJ
Past
March 21, 1988 - October 31, 1990
PATAGON.COM SECURITIES CORP.
BD
CRD#: 21040
MIAMI BEACH, FL
Past
April 3, 1986 - March 16, 1988
DOUGLAS BREMEN & CO., INC.
BD
CRD#: 13186
Past
April 3, 1985 - April 15, 1986
INDIVIDUAL'S SECURITIES LTD.
BD
CRD#: 7279
Past
March 1, 1983 - October 19, 1983
INDIVIDUAL'S SECURITIES LTD.
BD
CRD#: 7279
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(11/17/2016)
RR
Colorado(8/31/2017)
RR
Connecticut(11/18/2016)
RR
Florida(11/22/2016)
RR
Georgia(11/22/2016)
RR
Maryland(11/21/2016)
RR
Massachusetts(11/25/2016)
RR
New Jersey(12/2/2016)
RR
New York(11/18/2016)
IAR
New York(7/26/2021)
RR
North Carolina(11/21/2016)
RR
Pennsylvania(11/17/2016)
RR
South Carolina(11/21/2016)
RR
Texas(8/29/2019)
RR
Washington(9/17/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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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.
Company Information
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869Farmingville, NY 11738TRUST BUT VERIFY
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Contact information
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