TE
Thomas A. Ely
PLANMEMBER SECURITIES
Wytheville, VA 24382
Some features on this profile are disabled
CRD#: 1150570
TE
Professional summary
Thomas Alexander Ely, who also goes by Thomas A Ely, Tom A. Ely, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Wytheville, Virginia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas A Ely | Tom A. Ely
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) Virginia Retirement Specialists, Inc.- 580 W. Main St., Wytheville, VA 24382; Investment related; Securities & insurance sales & svcs; President; Start date 4/1988; 80 hrs/mnth & during trading. 2) Ely Financial Network-580 W. Main St., Wytheville, VA 24382; Investment related; Fixed health & insurance sales & svcs; President/Agent; Start date 4/2014; 80 hrs/mnth & during trading. 3) Educators Tax Service-580 W. Main St., Wytheville, VA 24382; Noninvestment related; Income tax preparation service; Managing Member; Start date 11/2007; 0 hrs/mnth; 0 hrs/mnth during trading. 4) Ely Properties-580 W. Main St., Wytheville, VA 24382; Noninvestment related; Rental property management; Managing Member; Start date 1/1997; 5 hrs/mnth & during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Alexander Ely's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Alexander Ely'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
November 13, 2024 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 580 W. Main Street, Wytheville, VA 24382RIA
BD
CRD#: 11869
Wytheville, VA
Current
November 13, 2024 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 580 W. Main Street, Wytheville, VA 24382RIA
BD
CRD#: 11869
Wytheville, VA
Past
May 16, 2011 - November 8, 2024
GWN SECURITIES INC.
RIA
CRD#: 128929
WYTHEVILLE, VA
Past
July 1, 2010 - November 8, 2024
GWN SECURITIES INC.
BD
CRD#: 128929
WYTHEVILLE, VA
Past
February 22, 2005 - May 13, 2011
INTERACTIVE FINANCIAL ADVISORS
RIA
CRD#: 125117
OAKBROOK, IL
Past
February 15, 2005 - July 1, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
WYTHEVILLE, VA
Past
January 4, 2005 - February 22, 2005
PMG ASSET MANAGEMENT INC
RIA
CRD#: 110825
WYTHEVILLE, VA
Past
January 3, 2004 - December 31, 2004
PMG SECURITIES CORPORATION
RIA
CRD#: 27107
WYTHEVILLE, VA
Past
February 26, 2001 - December 31, 2003
PMG ASSET MANAGEMENT INC
RIA
CRD#: 110825
WYTHEVILLE , VA
Past
January 2, 2001 - February 15, 2005
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
February 11, 2000 - December 31, 2000
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
September 3, 1996 - February 9, 2000
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
February 22, 1989 - September 6, 1996
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
March 22, 1988 - April 25, 1989
SOURCE SECURITIES, INC.
BD
CRD#: 8026
Past
May 15, 1987 - March 8, 1988
SECURITIES NETWORK, INC.
BD
CRD#: 8671
Past
September 25, 1985 - May 15, 1987
UAN INVESTMENT CORP.
BD
CRD#: 16665
Past
August 24, 1983 - September 25, 1985
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Past
June 19, 1983 - May 2, 1988
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
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(11/13/2024)
RR
Florida(11/13/2024)
RR
Georgia(11/13/2024)
RR
Kentucky(4/25/2025)
RR
Louisiana(6/17/2025)
RR
Michigan(11/13/2024)
RR
North Carolina(11/13/2024)
RR
Ohio(11/14/2024)
RR
Pennsylvania(11/13/2024)
RR
South Carolina(11/13/2024)
RR
Tennessee(11/13/2024)
RR
Texas(11/13/2024)
RR
Utah(11/13/2024)
RR
Virginia(11/13/2024)
IAR
Virginia(11/13/2024)
RR
West Virginia(11/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 6/15/1979
Non-Member General Securities ExaminationPrincipal/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.
