Fredrick J. Tobin
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.
Fredrick John Tobin, who also goes by Fred Tobin, was a registered financial professional .
Fredrick is a previously registered financial professional and started their career in finance in 1983. Fredrick had worked at 10 firms and has passed the Series 65, Series 63, SIE 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
February 23, 2016 - February 6, 2018
PLANMEMBER SECURITIES CORPORATION
February 19, 2016 - February 6, 2018
PLANMEMBER SECURITIES CORPORATION
December 21, 2010 - February 19, 2016
LEGEND ADVISORY, LLC
November 18, 2008 - February 19, 2016
LEGEND EQUITIES CORPORATION
November 25, 1998 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 25, 1998 - November 26, 2008
MSI FINANCIAL SERVICES, INC.
February 27, 1998 - December 8, 1998
METLIFE INVESTORS DISTRIBUTION COMPANY
August 30, 1995 - December 8, 1998
METLIFE INVESTORS DISTRIBUTION COMPANY
September 14, 1994 - March 25, 1998
NATIONAL PLANNING CORPORATION
September 17, 1987 - October 28, 1992
AETNA LIFE INSURANCE AND ANNUITY COMPANY
May 1, 1987 - September 18, 1987
NORTH AMERICAN MANAGEMENT, INC.
June 24, 1983 - July 17, 1985
PFS INVESTMENTS 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.
