SA
Stuart B. Allen
PLANMEMBER SECURITIES
Winchester, VA 22601
Some features on this profile are disabled
CRD#: 1829040
SA
Professional summary
Stuart Bruce Allen, CFP®, who also goes by Bruce Allen, S. Bruce Allen, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Winchester, Virginia.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Stuart has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Insurance Planning
Tax Planning
Comprehensive Financial Planni...
Investment Planning
Long-term Care
Education Planning
Are you a "fiduciary"?
Yes
Aliases
Bruce Allen | S. Bruce Allen
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) OLD DOMINION INSURANCE & INVESTMENT, INC-420 W. JUBAL EARLY DR, STE 202, WINCHESTER, VA 22601; INVESTMENT RELATED; SALES & SVC OF SECURITIES, FIXED & VARIABLE ANNUITIES, LIFE, HEALTH, LONG-TERM CARE INSURANCE; OFFICER/OWNER; START DATE 9/96; 75 HRS/MNTH; 15 HRS/MNTH DURING TRADING. 2) S. BRUCE ALLEN (SELF EMPLOYED)-420 W. JUBAL EARLY DR, STE 202, WINCHESTER, VA 22001; INVESTMENT RELATED; INSURANCE SALES & SVCS; SALES REP; START DATE 12/89; 60 HRS/MNTH & DURING TRADING. 3) BRUCE & BETTY ALLEN (SELF EMPLOYED)-147 TILDEN CT, WINCHESTER, VA 22602; NONINVESTMENT RELATED; RENTAL REAL ESTATE; OWNER; START DATE 1995; 0 HRS/MNTH & DURING TRADNG.
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Bruce Allen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stuart Bruce Allen'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: 2002
Experience
Current
June 27, 2014 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 420 W. Jubal Early Drive, Suite #202, Winchester, VA 22601RIA
BD
CRD#: 11869
Winchester, VA
Current
June 19, 2014 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 420 W. Jubal Early Drive, Suite #202, Winchester, VA 22601RIA
BD
CRD#: 11869
Winchester, VA
Past
May 30, 2006 - June 27, 2014
GWN SECURITIES INC.
RIA
CRD#: 128929
WINCHESTER, VA
Past
May 30, 2006 - June 27, 2014
GWN SECURITIES INC.
BD
CRD#: 128929
WINCHESTER, VA
Past
August 1, 2003 - June 12, 2006
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
WINCHESTER, VA
Past
June 28, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
September 19, 1997 - July 1, 2002
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
February 10, 1994 - August 13, 1997
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
April 30, 1990 - February 10, 1994
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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(7/20/2017)
RR
Arizona(8/2/2023)
RR
California(6/19/2014)
RR
Colorado(6/19/2014)
RR
Florida(6/19/2014)
RR
Georgia(6/19/2014)
RR
Indiana(6/19/2014)
RR
Kansas(6/8/2021)
RR
Maryland(6/19/2014)
RR
Missouri(6/19/2014)
RR
New Jersey(11/1/2019)
RR
New York(7/14/2017)
RR
North Carolina(6/27/2014)
RR
South Carolina(6/19/2014)
RR
Tennessee(6/8/2021)
RR
Texas(6/19/2014)
RR
Virginia(6/19/2014)
IAR
Virginia(6/27/2014)
RR
West Virginia(6/19/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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 |
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.
Company Information
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869Winchester, VA 22601TRUST BUT VERIFY
Monitor Stuart Allen
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
