James P. Mustard
Professional summary
James P Mustard, who also goes by James Patrick Mustard, Jim Mustard, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Portland, Oregon.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James P Mustard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James P Mustard's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 23, 2017 - Present
PLANMEMBER SECURITIES CORPORATION
February 22, 2017 - Present
PLANMEMBER SECURITIES CORPORATION
January 3, 2017 - February 23, 2017
LINCOLN INVESTMENT
September 9, 2004 - February 23, 2017
LEGEND ADVISORY, LLC
October 31, 1995 - January 3, 2017
LEGEND EQUITIES CORPORATION
October 18, 1990 - October 16, 1995
SENTRA SECURITIES CORPORATION
May 16, 1990 - September 7, 1990
PAMCO SECURITIES AND INSURANCE SERVICES
May 14, 1990 - September 17, 1990
GAF FINANCIAL AND INSURANCE SERVICES
April 25, 1985 - July 3, 1990
CITISTREET EQUITIES 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
(2/27/2017)
(2/22/2017)
(11/6/2025)
(6/15/2018)
(3/14/2017)
(3/3/2017)
(4/30/2025)
(3/3/2017)
(2/23/2017)
(2/23/2017)
(11/8/2025)
(2/28/2017)
(11/6/2025)
Exams
FINRA
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 |
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.
