David M. Brown
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.
David Marc Brown was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2012 - March 2, 2020
PLANMEMBER SECURITIES CORPORATION
May 1, 2012 - March 2, 2020
PLANMEMBER SECURITIES CORPORATION
January 23, 2009 - April 30, 2012
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - April 30, 2012
SECURITIES AMERICA, INC.
October 10, 2001 - February 6, 2009
BRECEK & YOUNG ADVISORS, INC.
March 5, 2001 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
January 25, 1999 - March 6, 2001
DONAHUE SECURITIES, INC.
October 30, 1993 - August 3, 1999
MW MANAGEMENT COMPANY
May 5, 1992 - September 28, 1993
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 13, 1989 - May 4, 1992
MONARCH SECURITIES, INC.
May 19, 1987 - June 1, 1988
PW SECURITIES, INC.
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
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.
