Paul S. Bain
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.
Paul Stewart Bain, who also goes by Paul Bain, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1987. Paul had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2021 - December 6, 2021
PLANMEMBER SECURITIES CORPORATION
July 28, 2021 - December 6, 2021
PLANMEMBER SECURITIES CORPORATION
July 7, 2011 - May 6, 2021
LINCOLN INVESTMENT
August 2, 2010 - May 6, 2021
LINCOLN INVESTMENT
September 21, 2007 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
September 7, 1994 - October 20, 2006
MM ASCEND LIFE INVESTOR SERVICES, LLC
September 23, 1993 - September 3, 1994
AEGON USA SECURITIES INC.
May 4, 1992 - August 24, 1993
LEGEND CAPITAL CORPORATION
July 27, 1989 - September 27, 1990
TITAN/VALUE EQUITIES GROUP, INC.
June 2, 1987 - June 28, 1989
EQUITABLE ADVISORS, LLC
June 1, 1987 - June 28, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 1, 1987 - October 2, 1989
EQUITABLE VARIABLE LIFE INSURANCE COMPANY
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.
