SD
Steven T. Duplain
PLANMEMBER SECURITIES
Agoura Hills, CA 91301
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CRD#: 1461394
SD
Professional summary
Steven Thomas Duplain is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Agoura Hills, California.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Steven has worked at 5 firms and has passed the Series 65, Series 63, 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) Legacy Financial Group-28720 Roadside Drive, Ste. 315, Agoura Hills, CA 91301; Investment Related; Investment advisory sales & services; Investment Advisor Representative; Start date 3/2023; 140 hrs/mnth & during trading. 2) Humanitas LLC dba Humanitas Financial and Insurance Services-400 Corporate Pointe, Ste. 300, Culver City, CA 90230; Noninvestment related; Life Insurance Agency; Managing Member/Agent; Start 5/2019; 40 hrs/mnth; 20 hrs/mnth during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Thomas Duplain'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
March 9, 2023 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 28720 Roadside Drive, Suite 315, Agoura Hills, CA 91301RIA
BD
CRD#: 11869
Agoura Hills, CA
Past
September 21, 2021 - March 9, 2023
ALPHASTAR CAPITAL MANAGEMENT
RIA
CRD#: 157423
Culver City, CA
Past
October 26, 1989 - December 18, 1998
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
November 18, 1986 - November 16, 1989
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
Past
April 24, 1986 - December 15, 1986
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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.Highlighted states indicate IAR registrations
IAR
California(3/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
