John A. Bogard
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Arlon Bogard was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1990. John had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2009 - March 1, 2013
PLANMEMBER SECURITIES CORPORATION
September 3, 2009 - March 1, 2013
PLANMEMBER SECURITIES CORPORATION
August 20, 2007 - September 3, 2009
PRINCIPAL SECURITIES, INC.
August 13, 2007 - September 3, 2009
PRINCIPAL SECURITIES, INC.
November 11, 2005 - January 31, 2007
NATIONAL PLANNING CORPORATION
September 27, 2004 - November 14, 2005
STANTON INVESTMENT SERVICES, INC.
October 31, 2003 - November 14, 2005
STANTON INVESTMENT SERVICES, INC.
June 6, 1997 - November 6, 2003
SII INVESTMENTS, INC.
April 28, 1997 - May 20, 1997
SII INVESTMENTS, INC.
July 26, 1993 - May 7, 1997
CETERA WEALTH SERVICES, LLC
August 17, 1992 - August 2, 1993
ASKAR CORP.
July 13, 1990 - August 19, 1992
CAPITAL MANAGEMENT SECURITIES, INC.
January 23, 1990 - July 16, 1990
AEGIS INVESTMENTS, INC.
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
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.
