Steven Tetens

PLANMEMBER SECURITIES

Naples, FL 34103

Some features on this profile are disabled

CRD#: 1200458

Professional summary

Steven Tetens is a registered financial professional currently at PLANMEMBER SECURITIES CORPORATION located in Naples, Florida.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1983. Steven has worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Tetens's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 8, 2019 - Present

PLANMEMBER SECURITIES CORPORATION

Office #1: 5051 Castello Square, #248, Naples, FL 34103Office #2: 4575 Via Royale, Suite 205, Fort Myers, FL 33919

RIA

CRD#: 11869

Naples, FL

Past

August 11, 2014 - May 15, 2019

KEY INVESTMENT SERVICES LLC

CRD#: 136300

SCHENECTADY, NY

Past

July 27, 2012 - August 13, 2014

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

SARATOGA SPRINGS, NY

Past

July 27, 2012 - August 13, 2014

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

SARATOGA SPRINGS, NY

Past

December 11, 2006 - July 30, 2012

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

ALBANY, NY

Past

December 6, 2006 - July 30, 2012

CITIZENS SECURITIES, INC.

CRD#: 39550

ALBANY, NY

Past

October 12, 2006 - December 7, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

PORT JEFFERSON STATION, NY

Past

October 4, 2006 - December 7, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

PORT JEFFERSON STATION, NY

Past

December 9, 2002 - October 4, 2006

BNY INVESTMENT CENTER INC.

CRD#: 47683

PORT JEFFERSON, NY

Past

April 2, 2002 - November 7, 2002

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

July 2, 2001 - April 25, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

October 5, 1993 - February 8, 1994

FLEET ENTERPRISES, INC.

CRD#: 17434

Past

November 9, 1989 - December 1, 1989

KOCHCAPITAL

CRD#: 21038

Past

June 5, 1989 - November 15, 1989

JONATHAN ALAN & CO., INC.

CRD#: 15914

Past

March 22, 1989 - June 8, 1989

ALLIED CAPITAL GROUP, INC.

CRD#: 13146

Past

March 6, 1989 - March 28, 1989

U.S. ADVISORS, INC.

CRD#: 10721

Past

February 9, 1987 - March 4, 1989

INVESTORS CENTER, INC.

CRD#: 14670

Past

September 13, 1986 - February 18, 1987

SHELTER ROCK SECURITIES CORP.

CRD#: 11043

Past

December 21, 1983 - October 1, 1986

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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".

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)

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.

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

Arizona
(5/8/2019)

Florida
(5/8/2019)

New York
(5/8/2019)

Ohio
(11/22/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/13/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/19/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/29/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/4/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/30/2004

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PLANMEMBER WRAP FEE PROGRAM ELITE STRATEGIST DECEMBER 2024 (3/31/2025)

PLANMEMBER SCARBOROUGH BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER OPTIFUND BROCHURE 2023 MARCH (3/31/2025)

PLANMEMBER NON-PLATFORM IRA BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER SCHWAB IAR PROGRAM FEBRUARY 2025 (3/31/2025)

PLANMEMBER RETIREMENT INVESTMENT BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER Q8P IAR PROGRAM 2023 MARCH (3/31/2025)

PLANMEMBER WRAP FEE PROGRAM INVESTMENT SAVINGS PLUS (3/31/2025)

PLANMEMBER PREFERENCE AND IAR BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER WORKPLACE ADVISORY PROGRAM 2023 MARCH (3/31/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/21/2022	Cover Page	Report
12/21/2022	Cover Page	Report

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.

Similar Advisors

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Blake Feldmann

INTEGRATED ADVISORS NETWORK LLC

IAR

Naples, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven Tetens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Tetens's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEY INVESTMENT SERVICES LLC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BNY INVESTMENT CENTER INC.

ALLSTATE FINANCIAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

FLEET ENTERPRISES, INC.

KOCHCAPITAL

JONATHAN ALAN & CO., INC.

ALLIED CAPITAL GROUP, INC.

U.S. ADVISORS, INC.

INVESTORS CENTER, INC.

SHELTER ROCK SECURITIES CORP.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

PLANMEMBER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 7/13/2001

Series 63

Date: 10/19/1993

SIE

Date: 10/1/2018

Series 7

Date: 6/29/2001

Series 6

Date: 10/4/1993

Series 26

Date: 7/30/2004

FINRA

Current Firm

PLANMEMBER SECURITIES CORPORATION

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PLANMEMBER SECURITIES CORPORATION

TRUST BUT VERIFY

Similar Advisors