NC
Nicholas Cava
PLANMEMBER SECURITIES
Farmingville, NY 11738
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CRD#: 1477541
NC
Professional summary
Nicholas Cava, CFP® is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Farmingville, New York.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Nicholas has worked at 5 firms and has passed the Series 63, SIE and Series 7 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) MUTUAL, INC. / Daybright Financial - 2410 NORTH OCEAN AVE., STE. 401, FARMINGVILLE, NY 1138;SALE OF FIXED INSURANCE PRODUCTS; VICE PRESIDENT; START DATE 7/1993; 1 HR/MTH; 0 HRS/MTH DURING TRADING; INVESTMENT RELATED. 2) Familial Trusteeship #1, 51 McGraw Ave Lake Grove NY 11755, Act as trustee for familial trust; trustee; start date 11/6/2015; 5 hrs/mo; 2 hrs/mo during trading; NIR 3) Familial Trusteeship #2, 51 McGraw Ave Lake Grove NY 11755, Act as trustee for familial trust; trustee; start date 11/6/2015; 4 hrs/mo; 2 hrs/mo during trading; NIR
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Cava's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Cava'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: 1997
Experience
Current
August 19, 2010 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2410 North Ocean Avenue, Suite 401, Farmingville, NY 11738RIA
BD
CRD#: 11869
Farmingville, NY
Current
August 12, 2010 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2410 North Ocean Avenue, Suite 401, Farmingville, NY 11738RIA
BD
CRD#: 11869
Farmingville, NY
Past
July 25, 2002 - August 19, 2010
ASSET & FINANCIAL PLANNING, LTD
RIA
CRD#: 110709
RONKONKOMA, NY
Past
July 13, 1993 - August 19, 2010
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
RONKONKOMA, NY
Past
September 9, 1988 - July 28, 1993
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
April 23, 1986 - September 14, 1988
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
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(1/15/2025)
RR
California(1/4/2011)
RR
Colorado(3/27/2020)
RR
Connecticut(8/12/2010)
RR
Florida(8/12/2010)
RR
Georgia(8/12/2010)
RR
Louisiana(8/12/2010)
RR
New Hampshire(8/12/2010)
RR
New Jersey(8/12/2010)
RR
New York(8/12/2010)
IAR
New York(7/7/2021)
RR
Pennsylvania(11/12/2021)
RR
South Carolina(8/12/2010)
RR
Virginia(1/4/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869Farmingville, NY 11738TRUST BUT VERIFY
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