HS
Haim Shepes
PLANMEMBER SECURITIES
Encino, CA 91436
Some features on this profile are disabled
CRD#: 1797326
HS
Professional summary
Haim Shepes is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Encino, California.
Haim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Haim has worked at 5 firms and has passed the Series 65, Series 63, 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Haim Shepes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Haim Shepes'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
October 30, 2018 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 16250 Ventura Blvd. #420, Encino, CA 91436RIA
BD
CRD#: 11869
Encino, CA
Current
October 29, 2018 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 16250 Ventura Blvd. #420, Encino, CA 91436RIA
BD
CRD#: 11869
Encino, CA
Past
June 27, 2017 - October 24, 2018
LINCOLN INVESTMENT
RIA
CRD#: 519
ENCINO, CA
Past
January 3, 2017 - October 24, 2018
LINCOLN INVESTMENT
BD
CRD#: 519
ENCINO, CA
Past
August 15, 2011 - October 24, 2018
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
ENCINO, CA
Past
June 30, 2004 - August 15, 2011
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
ENCINO, CA
Past
January 1, 1994 - January 3, 2017
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
ENCINO, CA
Past
June 28, 1991 - January 1, 1994
LEGEND CAPITAL CORPORATION
BD
CRD#: 4149
PALM BEACH GARDENS, FL
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
California(10/30/2018)
IAR
California(10/30/2018)
RR
Connecticut(7/27/2020)
RR
New Jersey(11/19/2020)
RR
Tennessee(10/30/2018)
RR
Texas(3/7/2022)
IAR
Texas(3/8/2022)
RR
Washington(10/24/2025)
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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 |
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.
