JD
John S. Dumond
PLANMEMBER SECURITIES
Sewell, NJ
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CRD#: 2052270
JD
Professional summary
John Samuel Dumond, who also goes by John Samuel Dumond, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Sewell, New Jersey.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. John has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Samuel Dumond
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.) TRUCHOICE - 9/6/2011 - 400 Hwy 169 South, Suite 200, Minneapolis, MN 55426 - Compliance Officer, Advertising compliance officer, Not Invt Rel, Insurance business, 40 hrs/mo; 40 hrs/mo (during trading hours). 2.) TLG ADVISORS INC - 4/6/2021 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, IAR Business, 0 hrs/mo; 0 hrs/mo (during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view John Samuel Dumond's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Samuel Dumond'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
August 21, 2023 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Sewell, NJ
Current
August 21, 2023 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 6187 Carpinteria Ave, Carpinteria, CA 93013RIA
BD
CRD#: 11869
Carpinteria, CA
Past
April 7, 2021 - December 31, 2022
TLG ADVISORS, INC.
RIA
CRD#: 111052
Minneapolis, MN
Past
April 6, 2021 - December 31, 2022
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
March 5, 2014 - May 2, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MOUNT LAUREL, NJ
Past
October 21, 2011 - May 2, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
MOUNT LAUREL, NJ
Past
April 24, 2008 - September 7, 2011
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
NEWARK, DE
Past
July 12, 2007 - March 4, 2008
TAFFERER TRADING, LLC
BD
CRD#: 36816
CHERRY HILL, NJ
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(8/21/2023)
RR
New Jersey(8/21/2023)
IAR
New Jersey(8/21/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
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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.
