AP
Anthony S. Pavia
PLANMEMBER SECURITIES
San Diego, CA 92127
Some features on this profile are disabled
CRD#: 2019194
AP
Professional summary
Anthony S. Pavia, who also goes by Anthony Scott Pavia, Anthony Pavia, Tony Pavia, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in San Diego, California.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Anthony has worked at 9 firms and has passed the Series 63, SIE, Series 2, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony Scott Pavia | Anthony Pavia | Tony Pavia
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)Pavia Financial Services, Inc.-dba RetireWell Capital Management-11590 W. Bernardo Ct., Ste. 102, San Diego, CA 92127; Investment related; Securities sales & svcs; Owner; Start date 12/2024; 100 hrs/mnth; 60 hrs/mnth during trading. 2) Pavia Financial Services, Inc.- 11590 W. Bernardo Ct., Ste. 102, San Diego, CA 92127; Investment related; Insurance sales & svcs; Owner/Agent; Start date 11/2006; 100 hrs/mth; 60 hrs/mnth during trading. 3) Pavia Financial Services, Inc. dba Capital Loan Associates -11590 W. Bernardo Ct., Ste. 102, San Diego, CA 92127; Noninvestment related; Residential loans-act as lender & broker of residential loans; Owner, Loan Officer, Mortgage Broker; Start date 9/1996; 60 hrs/mnth; 30 hrs/mnth during trading. 4) Anthony Pavia (self-employed)-207 Fifth Ave., #1254, San Diego, CA 92101; Noninvestment related; Owner of residential rental property; Owner; Start date 7/2007; 2 hrs/mnth; 0 hrs/mnth during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony S. Pavia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony S. Pavia'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
March 18, 2025 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 11590 West Bernardo Court, Suite 102, San Diego, CA 92127RIA
BD
CRD#: 11869
San Diego, CA
Current
March 17, 2025 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 11590 West Bernardo Court, Suite 102, San Diego, CA 92127RIA
BD
CRD#: 11869
San Diego, CA
Past
April 27, 2010 - March 18, 2025
GWN SECURITIES INC.
RIA
CRD#: 128929
SAN DIEGO, CA
Past
April 22, 2010 - March 18, 2025
GWN SECURITIES INC.
BD
CRD#: 128929
SAN DIEGO, CA
Past
September 28, 2001 - May 21, 2010
EQUITY SERVICES, INC.
RIA
CRD#: 265
SAN DIEGO, CA
Past
September 17, 2001 - May 21, 2010
EQUITY SERVICES, INC.
BD
CRD#: 265
SAN DIEGO, CA
Past
March 31, 1999 - September 6, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
November 20, 1997 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
September 8, 1997 - November 21, 1997
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
CARPINTERIA, CA
Past
July 17, 1995 - September 3, 1997
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
October 23, 1991 - July 26, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
October 23, 1991 - July 26, 1995
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
March 12, 1990 - September 30, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
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(3/17/2025)
IAR
California(3/18/2025)
RR
Colorado(7/23/2025)
RR
Georgia(3/18/2025)
RR
Illinois(3/18/2025)
RR
Nevada(3/18/2025)
RR
Oregon(3/24/2025)
RR
Texas(3/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 7/14/1994
Non-Member General Securities ExaminationGeneral 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.
