KP
Keith G. Prather
PLANMEMBER SECURITIES
Mount Airy, MD
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CRD#: 1613661
KP
Professional summary
Keith George Prather is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Mount Airy, Maryland.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Keith has worked at 7 firms and has passed the Series 63, Series 65, 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) Paladin Advisory Group-5129 Niagara Drive, Mount Airy, MD 21771; Investment related; Securities & Insurance Sales & Svcs; Representative; Start date 12/2016; 160 hrs/mnth & during trading. 2) Keith G. Prather (self employed)-5129 Niagara Drive, Mount Airy, MD 21771; Noninvestment related; Insurance (long term care, fixed)sales & svcs; Agent; Start date 1/83; 12/hrs/mnth & during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Keith George Prather's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith George Prather'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
March 3, 2020 - Present
PLANMEMBER SECURITIES CORPORATION
Office #2: 8178 Lark Brown Rd. Ste. 201, Elkridge, MD 21075RIA
BD
CRD#: 11869
Mount Airy, MD
Current
December 19, 2016 - Present
PLANMEMBER SECURITIES CORPORATION
Office #2: 8178 Lark Brown Rd. Ste. 201, Elkridge, MD 21075RIA
BD
CRD#: 11869
Mount Airy, MD
Past
August 13, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
COLUMBIA, MD
Past
August 13, 2003 - December 20, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
August 23, 1989 - August 5, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
August 23, 1989 - August 5, 2003
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
June 23, 1987 - August 23, 1989
UR FINANCIAL, INC.
BD
CRD#: 10509
Past
March 23, 1987 - May 18, 1988
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
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
Colorado(3/5/2024)
RR
Delaware(9/3/2021)
RR
Florida(3/19/2024)
RR
Maryland(12/21/2016)
IAR
Maryland(3/3/2020)
RR
North Carolina(8/22/2025)
RR
Pennsylvania(9/3/2021)
RR
South Carolina(3/9/2023)
RR
Virginia(8/4/2025)
RR
West Virginia(6/10/2024)
Exams
State Security Law Exam
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.
