Francis C. Abbey

PLANMEMBER SECURITIES

Covington, LA

Some features on this profile are disabled

CRD#: 1218000

Professional summary

Francis Christopher Abbey, CFP®, who also goes by Chris Abbey, Francis Christopher Abbey, Francis Chris Abbey, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Covington, Louisiana.

Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Francis has worked at 28 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Abbey | Francis Christopher Abbey | Francis Chris Abbey

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) Self-employed Independent Insurance Agent dba Francis "Chris" Abbey-1402 N. Causeway Blvd, Apt 92 Mandeville, LA 70471; Investment related; Insurance Sales & services; Independent insurance agent; Start date 3/15; 80 hrs/mnth & during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Christopher Abbey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Francis Christopher Abbey'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®

CFP^®

Certified Financial Planner

Start date: 1990

Experience

Current

April 15, 2020 - Present

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Covington, LA

Current

September 28, 2018 - Present

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Covington, LA

Past

November 6, 2017 - February 5, 2018

PRUCO SECURITIES, LLC.

CRD#: 5685

Metairie, LA

Past

March 25, 2017 - May 11, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

METAIRIE, LA

Past

October 13, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

METAIRIE, LA

Past

January 5, 2016 - July 7, 2016

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

Metairie, LA

Past

January 6, 2015 - March 30, 2015

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

Tampa, FL

Past

November 10, 2014 - March 30, 2015

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Tampa, FL

Past

November 8, 2004 - July 1, 2005

AIS FINANCIAL, INC.

CRD#: 41462

WESTLAKE VILLAGE, CA

Past

April 23, 2004 - August 2, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

July 18, 2003 - March 23, 2004

CP CAPITAL SECURITIES

CRD#: 15029

MIAMI, FL

Past

May 1, 2002 - July 17, 2003

SOVEREIGN-AMERICAN SECURITIES, INC.

CRD#: 21727

NAPLES, FL

Past

July 16, 2001 - February 22, 2002

KOVACK SECURITIES INC.

CRD#: 44848

FT. LAUDERDALE, FL

Past

September 5, 2000 - May 22, 2001

WEISS CAPITAL SECURITIES, INC.

CRD#: 39166

JUPITER, FL

Past

June 22, 1998 - May 30, 2000

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

September 25, 1997 - February 12, 1998

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

March 27, 1997 - June 12, 1997

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

Past

April 6, 1995 - January 1, 1996

ICAP/INVESTMENT SERVICES AND TRADING, LLC

CRD#: 31271

HAVERSTRAW, NY

Past

August 2, 1994 - January 10, 1995

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

January 21, 1994 - August 26, 1994

BUTTONWOOD SECURITIES, INC.

CRD#: 18420

NEW YORK, NY

Past

June 18, 1993 - December 31, 1993

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

January 2, 1990 - April 21, 1993

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

August 16, 1989 - December 2, 1989

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

April 24, 1989 - August 22, 1989

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 24, 1989 - August 22, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

October 24, 1988 - December 17, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

April 6, 1988 - November 10, 1988

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

Past

July 6, 1984 - November 5, 1986

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

February 13, 1984 - July 13, 1988

OSAIC FA, INC.

CRD#: 3978

Past

February 13, 1984 - September 7, 1988

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

Past

February 13, 1984 - September 7, 1988

LINCOLN NATIONAL PENSION INSURANCE COMPANY

CRD#: 10293

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(1/8/2024)

Louisiana
(9/28/2018)

IAR

Louisiana
(4/15/2020)

Mississippi
(10/8/2021)

Texas
(1/8/2024)

IAR

Texas
(1/8/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/8/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/10/2014

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative 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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Francis C. Abbey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Christopher Abbey's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Francis Christopher Abbey's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLANMEMBER SECURITIES CORPORATION

PRUCO SECURITIES, LLC.

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

W&S BROKERAGE SERVICES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

AIS FINANCIAL, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

CP CAPITAL SECURITIES

SOVEREIGN-AMERICAN SECURITIES, INC.

KOVACK SECURITIES INC.

WEISS CAPITAL SECURITIES, INC.

WOODBURY FINANCIAL SERVICES, INC.

SECURITIES SERVICE NETWORK, LLC

BARNETT INVESTMENTS, INC.

ICAP/INVESTMENT SERVICES AND TRADING, LLC

WADDELL & REED

BUTTONWOOD SECURITIES, INC.

MUTUAL SERVICE CORPORATION

RAYMOND JAMES & ASSOCIATES, INC.

CAL FED INVESTMENTS

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

INTEGRATED RESOURCES EQUITY CORPORATION

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

LINCOLN NATIONAL PENSION INSURANCE COMPANY

Primary Firm SEC Registration

PLANMEMBER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 10/8/2021

SIE

Date: 10/1/2018

Series 6

Date: 11/10/2014

Series 7

Date: 7/21/1984

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