Karlene G. Dionisopoulos
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.
Karlene Grace Dionisopoulos, CFP®, who also goes by Karlene Grace Trimble, was a registered financial professional .
Karlene is a previously registered financial professional and started their career in finance in 1983. Karlene had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2003 - December 31, 2023
PLANMEMBER SECURITIES CORPORATION
January 4, 2003 - December 31, 2023
PLANMEMBER SECURITIES CORPORATION
June 13, 2000 - December 31, 2002
VOYA FINANCIAL ADVISORS, INC.
October 1, 1997 - June 4, 2000
INVESTORS BROKERAGE SERVICES, INC.
August 29, 1997 - October 22, 1997
PLANMEMBER SECURITIES CORPORATION
February 8, 1990 - August 27, 1997
ARAGON FINANCIAL SERVICES, INC.
June 18, 1989 - February 9, 1990
SUNAMERICA SECURITIES, INC.
April 3, 1989 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
December 7, 1987 - December 31, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
May 30, 1985 - December 9, 1987
UR FINANCIAL, INC.
December 7, 1984 - February 4, 1985
EQUITEC SECURITIES COMPANY
June 5, 1984 - August 20, 1984
CONDEL SECURITIES, INC.
May 27, 1983 - May 17, 1984
EQUITEC SECURITIES COMPANY
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.
