SC
Scott D. Carlin
PLANMEMBER SECURITIES
Riverside, CA 92505
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CRD#: 1504310
SC
Professional summary
Scott David Carlin is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Riverside, California.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Scott has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 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) Carlin Insurance Agency-7365 Carnelian St. #230, Rancho Cucamonga, CA 91730; Investment related; insurance sales & services; Owner/sole proprietor; Start date 4/1990; 100 hrs/mnth; 20-40 hrs/mnth during trading. 2)Souther California Wealth Solutions AKA SoCal Wealth Solutions; 7365 Carnelian St., Suite 230, Rancho Cucamonga CA 91730; Start Date 01/20/2024; Owner/Financial Center Head; Sell Mutual Funds, RIA products and Annuities; 160 hrs/mo; 160 hrs/mo during trading; IR
CRS (Client Relationship Summary) - RIA
Click below to view Scott David Carlin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott David Carlin'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
February 14, 2018 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 11801 Pierce St., Suite #200 , Riverside, CA 92505RIA
BD
CRD#: 11869
Riverside, CA
Current
February 14, 2018 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 11801 Pierce St., Suite #200 , Riverside, CA 92505RIA
BD
CRD#: 11869
Riverside, CA
Past
January 3, 2017 - February 14, 2018
LINCOLN INVESTMENT
BD
CRD#: 519
RANCHO CUCAMONGA, CA
Past
January 3, 2012 - February 14, 2018
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
RANCHO CUCAMONGA, CA
Past
November 29, 2005 - September 8, 2011
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
RANCHO CUCAMONGA, CA
Past
July 28, 1994 - January 3, 2017
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
RANCHO CUCAMONGA, CA
Past
June 9, 1994 - July 11, 1994
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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(2/14/2018)
RR
California(2/14/2018)
IAR
California(2/14/2018)
RR
Colorado(2/19/2019)
RR
Florida(5/17/2022)
RR
Georgia(11/9/2022)
RR
Minnesota(11/9/2022)
RR
Nevada(7/7/2021)
RR
New Mexico(5/10/2022)
RR
South Carolina(6/11/2025)
RR
Texas(12/11/2020)
IAR
Texas(9/7/2022)
RR
Utah(2/14/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/1/2025
General Securities Representative ExaminationGeneral 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.
