LW
Larry M. Whaley
PLANMEMBER SECURITIES
Elkridge, MD 21075
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CRD#: 1714941
LW
Professional summary
Larry Michael Whaley, CFP®, who also goes by L. Mike Whaley, Mike Whaley, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Elkridge, Maryland.
Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Larry has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Employee and Employer Plan Ben...
Retirement Planning
Investment Planning
Are you a "fiduciary"?
Yes
Aliases
L. Mike Whaley | Mike Whaley
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.
WHALEY FINANCIAL SERVICES (WFS), INC.DBA; 8178 Lark Brown Rd. Ste 201 Elkridge, MD 21075; START 2/11; 160 HR/MO.TD HRS)INDEPENDENT INSURANCE AGENT. IR 2)WORSHIP MUSIC LEADER; 8700 HUGO CT. COLUMBIA MD 21046 LEADING MUSIC AT A CAMP FOR FAMILIES AFFECTED BY DISABILITY;COLUMBIA MD;START DATE: 6/1/2011 NON-PROFIT RELIGIOUS ORGANIZATION;10#OF HRS/MTH DEVOTED TO THIS BUS.:0#OF HRS/MTH BUS DURING TRADING HOURS:NIR 3)PALADIN ADVISOR GROUP AND PLANMEMBER FINANCIAL CENTER; 8178 Lark Brown Rd. Ste 201, Elkridge, MD 21075; PRESIDENT AND OWNER ;START DATE:8/15/2013; NATURE OF BUS:FULL SERVICE FINANCIAL PLANNING FIRM OFFERING PM PLATFORM PRODUCTS IN THE METRO AREA MARKET, HEALTH AND LIFE INSURANCE; INVESTMENT RELATED; APPROX. NO OF HRS/MOS DEVOTED TO THIS BUS: 175; APPROX. NO OF HRS/MOS DEVOTED TO THIS BUS DURING TRADING HRS: 175 4)Joni and Friends; 30009 Ladyface Ct Agoura Hills CA 91301; Worship Leader; Ministry; Start Date 7/1/2002; 10 hrs/mo; 0 hrs/mo during trading; NIR 5)FPS 5626 ASHBOURNE, LLC; 8700 Hugo Ct., Columbia MD 21046, United States; Start date 10/30/2020; General Partner; holding company for rental properties; NUMBER OF HOURS: 8 SECURITIES TRADING HOURS; NIR
CRS (Client Relationship Summary) - RIA
Click below to view Larry Michael Whaley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Larry Michael Whaley'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®
CFP®
Start date: 1994
Experience
Current
May 16, 2008 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 8178 Lark Brown Rd. Ste. 201, Elkridge, MD 21075RIA
BD
CRD#: 11869
Elkridge, MD
Current
May 16, 2008 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 8178 Lark Brown Rd. Ste. 201, Elkridge, MD 21075RIA
BD
CRD#: 11869
Elkridge, MD
Past
June 17, 1991 - May 15, 2008
LINCOLN INVESTMENT
RIA
CRD#: 519
GAITHERSBURG, MD
Past
July 24, 1990 - May 15, 2008
LINCOLN INVESTMENT
BD
CRD#: 519
GAITHERSBURG, MD
Past
February 10, 1988 - December 31, 1988
PFS INVESTMENTS INC.
BD
CRD#: 10111
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
Alabama(1/5/2011)
RR
Arizona(8/5/2019)
RR
Delaware(4/11/2018)
RR
District of Columbia(6/23/2008)
RR
Florida(5/16/2008)
RR
Idaho(9/17/2025)
RR
Indiana(9/17/2025)
RR
Louisiana(9/17/2025)
RR
Maine(8/26/2024)
RR
Maryland(5/16/2008)
IAR
Maryland(5/16/2008)
RR
North Carolina(5/16/2008)
RR
Ohio(7/30/2024)
RR
Pennsylvania(1/7/2013)
RR
South Carolina(3/8/2024)
RR
Tennessee(2/4/2025)
RR
Texas(3/31/2010)
RR
Vermont(2/4/2025)
RR
Virginia(5/16/2008)
RR
Washington(9/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
