Terrence F. Arnold
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.
Terrence Francis Arnold SR, who also goes by Terrence Francis Arnold, Terry Arnold Sr, Terrence F Arnold, was a registered financial professional .
Terrence is a previously registered financial professional and started their career in finance in 1984. Terrence had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2021 - April 16, 2025
PLANMEMBER SECURITIES CORPORATION
February 8, 2021 - April 16, 2025
PLANMEMBER SECURITIES CORPORATION
September 18, 2002 - February 9, 2021
CADARET, GRANT & CO., INC.
April 24, 1995 - September 20, 2002
WADDELL & REED
April 21, 1994 - October 3, 1994
FIMCO SECURITIES GROUP, INC.
August 18, 1993 - April 7, 1994
COMPULIFE INVESTOR SERVICES, INC.
April 23, 1992 - August 24, 1993
MONY SECURITIES CORPORATION
May 8, 1990 - April 21, 1992
MML INVESTORS SERVICES, LLC
March 28, 1989 - May 8, 1990
TOWER SQUARE SECURITIES, INC.
April 4, 1984 - April 26, 1989
PRUCO SECURITIES, LLC.
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.
