JC
Joseph C. Chalom
PLANMEMBER SECURITIES
Coral Springs, FL 33065
Some features on this profile are disabled
CRD#: 1314273
JC
Professional summary
Joseph Charles Chalom, CLU® is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Coral Springs, Florida.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Joseph has worked at 10 firms and has passed the Series 65, Series 66, SIE, Series 22, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. RETIREMENT COUNCIL, INC.-9825 W. SAMPLE RD., STE. #206, CORAL SPRINGS, FL 33065; INVESTMENT RELATED; FINANCIAL & INSURANCE SALES & SVCS, TAX PREPARATION, LEGAL SERVICES (EXPENSE PLANS, LEGAL SHIELD); PRESIDENT; START DATE 5/1991; 140 HRS/MNTH; 100 HRS/MNTH DURING TRADING. 2. NAIFA-BROWARD -9825 WEST SAMPLE RD., #206, CORAL SPRINGS, FL 33065; NON-INVESTMENT RELATED; NON-PROFIT ORGANIZATION PROVIDES ADVOCACY FOR FINANCIAL ADVISORS/AGENTS; President; START DATE 5/2016; 10 HRS/MNTH; 4 HRS/MNTH DURING TRADING. 3)White Glove Workshops; 9825 West Sample Road, Suite 206 Coral Springs FL 33065; start date 8/6/2018; Instructor; Financial Education Workshops; 8 hrs/mo; 0 hrs/mo during trading; IR 4)Coral Springs Community Emergency Response Team; 2825 Coral Springs Drive Coral Springs FL 33065; Start date 10/1/2020; Team Commander/Program Chief; train volunteers to assist the Coral Springs Fire Department; 5 hrs/mo; 2 hrs/mo during trading; NIR 5)NAIFA FLORIDA EDUCATION FOUNDATION INC.; 1836 Hermitage Blvd, Suite 200, Tallahassee FL 32308; START DATE: 07/01/2015; Director; Board of Directors for Non-Profit to promote financial education for both consumers and advisors; hrs/mo: 3; hrs/mo during trading 1; NIR
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Charles Chalom's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Charles Chalom'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®
Experience
Current
October 21, 2013 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 9825 W Sample Road Suite 206, Coral Springs, FL 33065RIA
BD
CRD#: 11869
Coral Springs, FL
Current
October 7, 2013 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 9825 W Sample Road Suite 206, Coral Springs, FL 33065RIA
BD
CRD#: 11869
Coral Springs, FL
Past
June 29, 2011 - October 7, 2013
VERITRUST FINANCIAL, LLC
RIA
CRD#: 106594
CORAL SPRINGS, FL
Past
April 22, 2002 - October 7, 2013
VERITRUST FINANCIAL, LLC
BD
CRD#: 106594
CORAL SPRINGS, FL
Past
October 31, 1995 - April 22, 2002
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
May 23, 1994 - November 6, 1995
INTERVEST INTERNATIONAL EQUITIES CORPORATION
BD
CRD#: 20289
COLORADO SPRINGS, CO
Past
May 16, 1991 - May 23, 1994
PROGRAMMED EQUITIES CORPORATION
BD
CRD#: 21778
Past
January 19, 1990 - January 28, 1991
FORTH FINANCIAL SECURITIES, CORPORATION
BD
CRD#: 14363
RICHMOND, VA
Past
August 31, 1988 - December 31, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
May 29, 1987 - April 5, 1988
THE GREAT-WEST LIFE ASSURANCE COMPANY
BD
CRD#: 5927
Past
May 7, 1987 - April 5, 1988
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
Past
October 24, 1984 - June 16, 1987
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
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
Arizona(10/7/2013)
RR
California(10/7/2013)
RR
Colorado(10/7/2013)
RR
Florida(10/8/2013)
IAR
Florida(10/21/2013)
RR
Indiana(8/30/2017)
RR
Louisiana(10/7/2013)
RR
Massachusetts(11/9/2020)
RR
North Carolina(9/24/2024)
RR
Tennessee(1/3/2022)
RR
Wisconsin(9/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/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)
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
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.
Company Information
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869Coral Springs, FL 33065TRUST BUT VERIFY
Monitor Joseph Chalom
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
