Michael R. Williams

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CRD#: 1502545

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael R Williams, who also goes by Michael Rand Williams, Mike Williams, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 12 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Rand Williams | Mike Williams

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 30, 2020 - August 27, 2024

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

Kansas City, MO

Past

September 18, 2018 - July 2, 2019

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Woodbridge, VA

Past

January 26, 2018 - August 8, 2018

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

GAINESVILLE, VA

Past

March 26, 2015 - January 5, 2017

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

KENTWOOD, MI

Past

October 21, 2013 - November 12, 2014

HERITAGE FINANCIAL SYSTEMS, LLC

CRD#: 133019

MALVERN, PA

Past

January 16, 2009 - October 20, 2011

QUESTAR CAPITAL CORPORATION

CRD#: 43100

WOODBRIDGE, VA

Past

May 31, 2002 - June 8, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

May 31, 2002 - January 22, 2007

OSAIC FA, INC.

CRD#: 3978

WOODBRIDGE, VA

Past

October 8, 2001 - June 21, 2002

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

December 6, 2000 - October 1, 2001

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

October 6, 1998 - December 11, 2000

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

August 22, 1986 - October 15, 1998

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/16/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/23/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/6/1988

Investment Company Products/Variable Contracts Principal Examination

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PLANMEMBER WRAP FEE PROGRAM ELITE STRATEGIST DECEMBER 2024 (3/31/2025)

PLANMEMBER SCARBOROUGH BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER OPTIFUND BROCHURE 2023 MARCH (3/31/2025)

PLANMEMBER NON-PLATFORM IRA BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER SCHWAB IAR PROGRAM FEBRUARY 2025 (3/31/2025)

PLANMEMBER RETIREMENT INVESTMENT BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER Q8P IAR PROGRAM 2023 MARCH (3/31/2025)

PLANMEMBER WRAP FEE PROGRAM INVESTMENT SAVINGS PLUS (3/31/2025)

PLANMEMBER PREFERENCE AND IAR BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER WORKPLACE ADVISORY PROGRAM 2023 MARCH (3/31/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/21/2022	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Firm Stability Insights

Michael R. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AVANTAX INVESTMENT SERVICES, INC.

AMERITAS INVESTMENT COMPANY, LLC

REGULUS FINANCIAL GROUP, LLC

HERITAGE FINANCIAL SYSTEMS, LLC

QUESTAR CAPITAL CORPORATION

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

1717 CAPITAL MANAGEMENT COMPANY

UVEST FINANCIAL SERVICES GROUP, INC.

OSAIC WEALTH, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

PLANMEMBER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/1986

SIE

Date: 10/1/2018

Series 6

Date: 6/23/1986

Series 26

Date: 7/6/1988

Current Firm

PLANMEMBER SECURITIES CORPORATION

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PLANMEMBER SECURITIES CORPORATION

TRUST BUT VERIFY

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