Richard M. Treta
PLANMEMBER SECURITIES
Fort Worth, TX 76109
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CRD#: 1396132
Professional summary
Richard Michael Treta, CFP®, who also goes by Rich Treta, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Fort Worth, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Estate Planning
Retirement Planning
Retirement Income Management
Employee and Employer Plan Ben...
Investment Planning
Insurance Planning
Business Succession Planning
Are you a "fiduciary"?
Yes
Aliases
Rich Treta
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) Penwell Treta Wealth Management-4200 S. Hulen St, #601, Fort Worth, TX 76109; Investment related; Securities and insurance sales & svcs; Managing Partner; Start date 7/18; 120 hrs/mnth; 100 hrs/mnth. 2) Richard Treta(self employed)-4200 S. Hulen St, #610, Fort Worth, TX 76109; Investment related; Insurance sales and svcs; Insurance agent; start date 7/18; 20 hrs/mnth & during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Michael Treta's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Michael Treta'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®
CFP®
Start date: 1994
Experience
Current
July 13, 2018 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 4200 S. Hulen St. Suite 601, Fort Worth, TX 76109RIA
BD
CRD#: 11869
Fort Worth, TX
Current
July 13, 2018 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 4200 S. Hulen St. Suite 601, Fort Worth, TX 76109RIA
BD
CRD#: 11869
Fort Worth, TX
Past
March 19, 2007 - July 27, 2018
OSAIC FA, INC.
RIA
CRD#: 3978
FORT WORTH, TX
Past
March 19, 2007 - July 27, 2018
OSAIC FA, INC.
BD
CRD#: 3978
FORT WORTH, TX
Past
August 17, 2006 - March 27, 2007
LEVEL FOUR ADVISORY SERVICES
RIA
CRD#: 134086
IRVING, TX
Past
August 11, 2006 - March 27, 2007
SECURITIES AMERICA, INC.
BD
CRD#: 10205
IRVING, TX
Past
August 24, 2001 - July 21, 2006
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
IRVING, TX
Past
December 20, 2000 - July 18, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 4, 1999 - February 5, 2001
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
September 12, 1997 - July 21, 2006
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
IRVING, TX
Past
July 11, 1994 - December 31, 1994
AMERICAN EXPRESS SERVICE CORPORATION
BD
CRD#: 10518
MINNEAPOLIS, MN
Past
October 12, 1988 - September 15, 1999
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 12, 1988 - September 15, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
October 9, 1985 - April 14, 1988
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
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(3/31/2025)
RR
Florida(7/13/2018)
RR
Kentucky(7/13/2018)
RR
Louisiana(7/13/2018)
RR
Michigan(7/13/2018)
RR
Minnesota(8/31/2018)
RR
New Jersey(3/31/2025)
RR
New York(3/31/2025)
RR
Oklahoma(7/13/2018)
RR
Pennsylvania(7/13/2018)
RR
South Carolina(1/4/2022)
RR
Texas(7/13/2018)
IAR
Texas(7/13/2018)
RR
Washington(9/14/2020)
RR
West Virginia(8/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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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.
