MB
Marvin A. Boxdorfer
PLANMEMBER SECURITIES
Greenwood, IN
Some features on this profile are disabled
CRD#: 1585872
MB
Professional summary
Marvin Anton Boxdorfer, who also goes by Marvin Anton Boxdorfer, Tony Boxdorfer, Marvin Boxdorfer, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Greenwood, Indiana.
Marvin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Marvin has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marvin Anton Boxdorfer | Tony Boxdorfer | Marvin Boxdorfer
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) Heartland Wealth Group-1213 N. Franklin Rd., Greenwood, IN 46143; Investment related; investment services, securities & insurance sales & services; Financial Advisor; Start date 1/2023; 80 hrs/mnth & during trading. 2) Marvin Boxdorfer (self employed)-1213 N. Franklin Rd., Greenwood, IN 46143; Investment related; Insurance sales & services; Insurance broker (self employed); Start date 1/1982; 6 hrs/mnth & during trading. 3) Investor Five-811 Royal Oak Dr, Marysville, OH 43040; Non-investment related; Property ownership; Partner; Start date 1/1998; 0 hrs/mnth & during trading. 4) Foru Willows Farm-1213 N. Franklin Rd., Greenwood, IN 46143; Non-investment related; Horse stable; Partner; Start date 8/2002; 82 hrs/mnth; 20 hrs/mnth during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Marvin Anton Boxdorfer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marvin Anton Boxdorfer'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
January 4, 2023 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Greenwood, IN
Current
January 3, 2023 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Greenwood, IN
Past
May 5, 2017 - December 31, 2022
SPC
RIA
CRD#: 110692
Greenwood, IN
Past
November 3, 2015 - December 31, 2022
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
Greenwood, IN
Past
August 14, 2015 - November 4, 2015
NYLIFE SECURITIES LLC
BD
CRD#: 5167
GREENWOOD, IN
Past
February 20, 2014 - May 20, 2015
OSAIC SERVICES, INC.
BD
CRD#: 133763
INDIANAPOLIS, IN
Past
February 8, 2012 - February 25, 2014
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
April 30, 2010 - December 1, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
GREENWOOD, IN
Past
June 17, 2008 - April 6, 2010
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
GREENWOOD, IN
Past
June 9, 1987 - June 29, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
FORT WAYNE, IN
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
IAR
Indiana(1/4/2023)
RR
Indiana(1/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
