MP
Margaret H. Pierce
PLANMEMBER SECURITIES
Irvington, NY 10533
Some features on this profile are disabled
CRD#: 2153454
MP
Professional summary
Margaret Henderson Pierce, CFP®, who also goes by Margaret H Henderson, Margaret Hilary Henderson, Margaret H Pierce, Margaret Hilary Pierce, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Irvington, New York.
Margaret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Margaret has worked at 9 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Margaret H Henderson | Margaret Hilary Henderson | Margaret H Pierce | Margaret Hilary Pierce
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.
Business Name: NFP Investment Related: No Address: 141 Longwater Drive Norwell MA 02061 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Senior Advisor Retirement and Corporate benefits Start Date: 3/4/2019 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: To work with plan sponsors on their retirement plansBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 southwest pkwy, BLDG 2, suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: advisor Start Date: 5/10/2021 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: advisor
CRS (Client Relationship Summary) - RIA
Click below to view Margaret Henderson Pierce's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Margaret Henderson Pierce'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®
CFP®
Start date: 2005
Experience
Current
January 31, 2023 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: One Bridge Street, Suite 70, Irvington, NY 10533RIA
BD
CRD#: 11869
Irvington, NY
Current
December 15, 2022 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: One Bridge Street, Suite 70, Irvington, NY 10533RIA
BD
CRD#: 11869
Irvington, NY
Past
June 12, 2019 - November 21, 2022
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Norwell, MA
Past
May 14, 2019 - November 21, 2022
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
NORWELL, MA
Past
May 8, 2017 - March 5, 2019
NEWPORT GROUP SECURITIES, INC.
BD
CRD#: 29722
LAKE MARY, FL
Past
October 6, 2014 - March 5, 2019
NEWPORT GROUP CONSULTING, LLC
RIA
CRD#: 140944
DUXBURY, MA
Past
September 8, 1998 - April 9, 2013
AMERICAN CENTURY INVESTMENT SERVICES INC.
BD
CRD#: 17437
KANSAS CITY, MO
Past
October 22, 1994 - December 31, 1995
TEACHERS PERSONAL INVESTORS SERVICES, INC.
BD
CRD#: 36130
NEW YORK, NY
Past
June 16, 1993 - May 8, 1998
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
NEW YORK, NY
Past
October 23, 1992 - March 24, 1993
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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
Connecticut(2/24/2023)
RR
Florida(1/4/2023)
RR
Maine(1/4/2023)
RR
Maryland(1/24/2023)
RR
Massachusetts(12/15/2022)
IAR
Massachusetts(1/31/2023)
RR
New Hampshire(1/5/2023)
RR
New York(12/15/2022)
RR
Rhode Island(1/4/2023)
RR
Vermont(1/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
