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KD

Kenneth J. Donnelly

PLANMEMBER SECURITIES
Westminster, CA
Some features on this profile are disabled
CRD#: 2092531
KD

Professional summary

Kenneth John Donnelly, who also goes by Ken Donnelly, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Westminster, California.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Kenneth has worked at 14 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24, Series 53, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ken Donnelly

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth John Donnelly's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kenneth John Donnelly's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 31, 2019 - Present

PLANMEMBER SECURITIES CORPORATION

RIA
BD
CRD#: 11869
Westminster, CA
Current

January 30, 2019 - Present

PLANMEMBER SECURITIES CORPORATION

Office #1: 6187 Carpinteria Ave, Carpinteria, CA 93013
RIA
BD
CRD#: 11869
Carpinteria, CA
Past

August 19, 2014 - April 26, 2017

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
El Segundo, CA
Past

August 15, 2014 - April 26, 2017

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
El Segundo, CA
Past

April 18, 2011 - June 17, 2013

MORGAN STANLEY

RIA
CRD#: 149777
NEWPORT BEACH, CA
Past

April 15, 2011 - June 17, 2013

MORGAN STANLEY

BD
CRD#: 149777
NEWPORT BEACH, CA
Past

January 23, 2009 - March 31, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NEWPORT BEACH, CA
Past

January 22, 2009 - March 31, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NEWPORT BEACH, CA
Past

March 14, 2008 - January 27, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
LONG BEACH, CA
Past

March 14, 2008 - January 27, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
LONG BEACH, CA
Past

June 25, 2001 - June 1, 2007

FFR ADVISORY LLC

RIA
CRD#: 108602
SEAL BEACH, CA
Past

July 21, 2000 - April 10, 2007

FSC SECURITIES CORPORATION

BD
CRD#: 7461
SEAL BEACH, CA
Past

June 26, 2000 - July 26, 2000

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

July 14, 1997 - April 29, 1998

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

April 3, 1997 - July 14, 1997

ASB FINANCIAL SERVICES

BD
CRD#: 24280
IRVINE, CA
Past

March 15, 1993 - April 9, 1997

BROWNCO, LLC

BD
CRD#: 1326
BOSTON, MA
Past

July 1, 1992 - March 3, 1993

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

March 25, 1992 - May 11, 1992

WILLIAM O'NEIL SECURITIES

BD
CRD#: 894
BOSTON, MA
Past

June 7, 1991 - August 24, 1992

DONNELLY INVESTMENT SECURITIES CORPORATION

BD
CRD#: 14332
JEFFERSON, LA

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
(1/31/2019)
IAR
California
(1/31/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 4/9/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/26/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/2/2023
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/5/2008
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/28/2008
General Securities Sales Supervisor - Options Module Examination
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
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PLANMEMBER WRAP FEE PROGRAM ELITE STRATEGIST DECEMBER 2024 (3/31/2025)
PLANMEMBER SCARBOROUGH BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER OPTIFUND BROCHURE 2023 MARCH (3/31/2025)
PLANMEMBER NON-PLATFORM IRA BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER SCHWAB IAR PROGRAM FEBRUARY 2025 (3/31/2025)
PLANMEMBER RETIREMENT INVESTMENT BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER Q8P IAR PROGRAM 2023 MARCH (3/31/2025)
PLANMEMBER WRAP FEE PROGRAM INVESTMENT SAVINGS PLUS (3/31/2025)
PLANMEMBER PREFERENCE AND IAR BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER WORKPLACE ADVISORY PROGRAM 2023 MARCH (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
PLANMEMBER FINANCIAL CORPORATIONOWNER
BOWMAN, BYRON FRANCISCHIEF LEGAL OFFICER & SECRETARY2673117
HALEY, SEAN PATRICKCHIEF COMPLIANCE OFFICER2837579
HANSON, STEVEN RCHIEF FINANCIAL OFFICER / FINOPS4854600
JANEWAY, TERRALL JOSEPHEVP/CHIEF OPERATING OFFICER2947154
ZIEHL, JON MICHAELPRESIDENT707642

Regulatory assets under management

Total Number of Accounts68,978
AUM (Assets Under Management)$ 9,035,509,268

Disclosures

Regulatory Event5

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#: 11869Westminster, CA

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