KS
Kevin P. Semisch
PLANMEMBER SECURITIES
Fort Lauderdale, FL 33334
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CRD#: 2133630
KS
Professional summary
Kevin Philip Semisch is a registered financial professional currently at PLANMEMBER SECURITIES CORPORATION located in Fort Lauderdale, Florida.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1991. Kevin has worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Kevin Philip Semisch'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
October 9, 2007 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 800 East Cypress Creek Road, Suite 300, Fort Lauderdale, FL 33334RIA
BD
CRD#: 11869
Fort Lauderdale, FL
Past
April 24, 2006 - October 9, 2007
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
DEERFIELD BEACH, FL
Past
March 24, 2000 - March 2, 2006
SENTINEL FINANCIAL SERVICES COMPANY
BD
CRD#: 31175
MONTPELIER, VT
Past
March 23, 2000 - April 24, 2006
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
January 31, 1997 - March 2, 2000
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
September 14, 1996 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
Past
May 22, 1996 - August 23, 1996
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
Past
September 4, 1991 - April 2, 1996
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, 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.
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
Arkansas(9/11/2023)
RR
California(4/29/2024)
RR
Colorado(8/19/2022)
RR
Connecticut(8/2/2024)
RR
Florida(10/9/2007)
RR
Georgia(12/22/2016)
RR
Maine(8/23/2022)
RR
Maryland(9/11/2023)
RR
New York(12/12/2022)
RR
North Carolina(10/30/2014)
RR
Oklahoma(10/2/2023)
Exams
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)
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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.
Company Information
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869Fort Lauderdale, FL 33334TRUST BUT VERIFY
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