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EP

Earnest A. Pinder

PLANMEMBER SECURITIES
Tampa, FL
Some features on this profile are disabled
CRD#: 1623405
EP

Professional summary

Earnest Alexander Pinder III, who also goes by Earnest Alexander Pinder III, Earnest Alexander Pinder, Ernie Pinder, is a registered financial professional currently at PLANMEMBER SECURITIES CORPORATION located in Tampa, Florida.

Earnest is registered as a RR (Registered Representative) and started their career in finance in 2000. Earnest has worked at 4 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Earnest Alexander Pinder Iii | Earnest Alexander Pinder | Ernie Pinder

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Earnest Alexander Pinder III's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 1, 2023 - Present

PLANMEMBER SECURITIES CORPORATION

RIA
BD
CRD#: 11869
Tampa, FL
Past

December 17, 2010 - December 31, 2022

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
TAMPA, FL
Past

July 20, 2009 - December 31, 2010

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

September 27, 2005 - July 1, 2009

LINCOLN INVESTMENT

BD
CRD#: 519
LUTZ, FL
Past

November 1, 2000 - September 26, 2005

PLANMEMBER SECURITIES CORPORATION

BD
CRD#: 11869
CARPINTERIA, CA

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.

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
Florida
(5/2/2023)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/31/2000
Investment Company Products/Variable Contracts Representative Examination
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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PLANMEMBER WRAP FEE PROGRAM ELITE STRATEGIST DECEMBER 2024 (3/31/2025)
PLANMEMBER SCARBOROUGH BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER OPTIFUND BROCHURE 2023 MARCH (3/31/2025)
PLANMEMBER NON-PLATFORM IRA BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER SCHWAB IAR PROGRAM FEBRUARY 2025 (3/31/2025)
PLANMEMBER RETIREMENT INVESTMENT BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER Q8P IAR PROGRAM 2023 MARCH (3/31/2025)
PLANMEMBER WRAP FEE PROGRAM INVESTMENT SAVINGS PLUS (3/31/2025)
PLANMEMBER PREFERENCE AND IAR BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER WORKPLACE ADVISORY PROGRAM 2023 MARCH (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
PLANMEMBER FINANCIAL CORPORATIONOWNER
BOWMAN, BYRON FRANCISCHIEF LEGAL OFFICER & SECRETARY2673117
HALEY, SEAN PATRICKCHIEF COMPLIANCE OFFICER2837579
HANSON, STEVEN RCHIEF FINANCIAL OFFICER / FINOPS4854600
JANEWAY, TERRALL JOSEPHEVP/CHIEF OPERATING OFFICER2947154
ZIEHL, JON MICHAELPRESIDENT707642

Regulatory assets under management

Total Number of Accounts68,978
AUM (Assets Under Management)$ 9,035,509,268

Disclosures

Regulatory Event5

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.

Company Information

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869Tampa, FL

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