KT
Kevin T. Twohy
PLANMEMBER SECURITIES
CARPINTERIA, CA 93013-2060
Some features on this profile are disabled
CRD#: 1345245
KT
Professional summary
Kevin Taylor Twohy is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Carpinteria, California.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Kevin has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 24 and Series 39 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)UNICITY NETWORK; 5234 EL CARRO, CARPINTERIA, CA; DIRECT SALES OF HEALTHCARE PRODUCTS; INDEPENDENT DISTRIBUTOR SINCE 10/95; 0-1 HRS/MONTH DEVOTED TO BUSINESS; 0 DURING TRADING; NIR. (2)PARTNERSHIP (CEASED PARTNERSHIP ACTIVITY UNITED SOIL TECHNOLOGIES LTD. I & II GENERAL PARTNER OF TWO LIMITED PARTNERSHIPS, 5234 EL CARRO, CARPINTERIA, CA, 93013 STARTED 12/1983; 0 HOURS, NIR 3)BE HAPPILY MARRIED ENTERPRISE; 5234 EL CARRO, CARPINTERIA, CA, 93013; MARRIAGE EDUCATION; START 12/01/2007;FOUNDER/OWNER; 20HRS/MO; ZERO DURING TRADING HRS;COMPENSATED BY FEE FROM WORKSHOP ATTENDEES;NIR 4)LEADER OF WORKSHOPS ON "RELATIONSHIPS"; 5234 EL CARRO, CARPINTERIA, CA, 93013 START 8/2009; 10HRS/MO;0/TRADING; NIR. 5)PAX PROGRAMS,INC. 5234 EL CARRO, CARPINTERIA, CA, 93013. START1/1/2011 WORKSHOP LEADER IMPROVING RELATIONSHIPS BETWEEN MEN AND WOMEN;15HRS/MO;0 DUIRING TRADING;NON- INVESTMENT-RELATED, 6)TERM LIFE INSURANCE 5234 EL CARRO, CARPINTERIA, CA, 93013 START 2004, 3HRS/MO;0 DUIRING TRADING, NON- INVESTMENT-RELATED 7) KEVIN TWOHY - NERIUM; 5234 EL CARRO, CARPINTERIA, CA, 93013 PROPRIETOR; START 5/2012; NETWORK MARKETING; SALES OF HEALTH PRODUCTS; 15 HRS/MONTH; 0 HRS/MONTH DURING TRADING; NIR.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Taylor Twohy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Taylor Twohy'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
December 3, 2003 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 6187 Carpinteria Avenue, Carpinteria, CA 93013-2060RIA
BD
CRD#: 11869
CARPINTERIA, CA
Current
December 3, 2003 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 6187 Carpinteria Ave, Carpinteria, CA 93013RIA
BD
CRD#: 11869
Carpinteria, CA
Past
March 11, 2003 - December 4, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
RIA
CRD#: 39543
FAIRFIELD, IA
Past
June 18, 2002 - December 4, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FAIRFIELD, IA
Past
August 14, 1985 - October 21, 1987
UNITED INVESTMENT SERVICES, INC.
BD
CRD#: 16501
Past
July 5, 1985 - August 22, 1985
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
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(12/3/2003)
IAR
California(12/3/2003)
RR
Massachusetts(1/18/2007)
RR
Washington(2/19/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 11869Carpinteria, CA 93013-2060TRUST BUT VERIFY
Monitor Kevin Twohy
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
