Daniel A. Adel

PLANMEMBER SECURITIES

Lake City, FL

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CRD#: 1712429

Professional summary

Daniel Allen Adel, who also goes by Dan Adel, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Lake City, Florida.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Daniel has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Adel

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)SUPREME COURT OF FLORIDA; 5PO BOX 1569 LAKE CITY FL;CIVIAL COURT MEDIATOR/COUNTY MEDIATOR-START 1998; 2-4HRS/MO; 0HRS/TRADING; $25/HR; NOT-INVESTMENT-RELATED 2)INDEPENDENT INSURANCE AGENT;957 SW SPRING LANE LAKE CITY FL 5% OF TIME; $2/YR; INVESTMENT-RELATED 3) PLANNING AND ZONING BOARD; 50 NW ALACHUA AVE LAKE CITY FL;START 2005;BOARD MEMBER; ; 2HRS/MO; 0/TRADING. NOT-INVESTMENT-RELATED 4)FIRE PENSON TRUST BOARD; 150 NW ALACHUA AVE LAKE CITY FL;START 2005;$25/MO; 2HRS/MO; 0/TRADING.; INVESTMENT-RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Allen Adel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Daniel Allen Adel'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

September 2, 2008 - Present

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Lake City, FL

Current

August 28, 2008 - Present

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Lake City, FL

Past

January 5, 2006 - September 9, 2008

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

LAKE CITY, FL

Past

January 4, 2006 - September 9, 2008

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

LAKE CITY, FL

Past

April 6, 2004 - January 13, 2006

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

GAINESVILLE, FL

Past

March 26, 2002 - January 13, 2006

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

January 2, 2002 - April 4, 2002

STERLING FINANCIAL INVESTMENT GROUP, INC.

CRD#: 41506

BOCA RATON, FL

Past

January 3, 1992 - December 31, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

April 26, 1991 - December 31, 1991

BILTMORE SECURITIES, INC.

CRD#: 25023

FT. LAUDERDALE, FL

Past

November 27, 1990 - April 29, 1991

F.N. WOLF & CO., INC.

CRD#: 13051

Past

August 8, 1990 - November 24, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

Past

September 24, 1987 - October 18, 1990

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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".

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)

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.

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

Florida
(9/2/2008)

IAR

Florida
(9/2/2008)

Georgia
(8/29/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/26/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/29/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 4/17/2007

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/1/1989

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/24/1988

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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

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

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/21/2022	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Firm Stability Insights

Daniel A. Adel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Allen Adel's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Daniel Allen Adel's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLANMEMBER SECURITIES CORPORATION

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

STERLING FINANCIAL INVESTMENT GROUP, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BILTMORE SECURITIES, INC.

F.N. WOLF & CO., INC.

THE STUART-JAMES COMPANY, INCORPORATED

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

PLANMEMBER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 3/26/2004

Series 63

Date: 7/29/1987

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1987

Series 51

Date: 4/17/2007

Series 4

Date: 6/1/1989

Series 24

Date: 8/24/1988

FINRA

Current Firm

PLANMEMBER SECURITIES CORPORATION

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PLANMEMBER SECURITIES CORPORATION

TRUST BUT VERIFY

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