DD
David Dotson
PLANMEMBER SECURITIES
Seattle, WA 98178
Some features on this profile are disabled
CRD#: 2197825
DD
Professional summary
David Dotson, who also goes by David Allyn Dotson, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Seattle, Washington.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. David has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Allyn Dotson
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) Northwest Advisor Group-10209 Bridgeport Way SW, Tacoma, WA 98499; Investmet related; Marketing services, securities & insurance sales & services; Agent; Start date 2/20; 150 hrs/mnth & during trading. 2) David Dotson (self employed)-7240 S. 135th St, Seattle, WA 98178; Investment related; Insurance (life, annuity, Medicare Advantage & supplemental health) sales & svcs; Agent; Start date 4/92; 4 hrs/mnth & during trading. 3) Symbiol LLC-PO Box 80643, Seattle, WA (no physical address); noninvestment related; Converts wood waste to biofuel; Managing Member; Start date 8/07; 20 hrs/mnth; 0 hrs/mnth during trading. 4)David Dotson; 7240 S. 135th St. Seattle WA 98178; Start date 8/9/2021; Referral Agent; Refers to CPA firms business clients who are looking for information on the PPP and Employee Retention Tax credits; 0 hrs/mo; 2 hrs/mo during trading; NIR
CRS (Client Relationship Summary) - RIA
Click below to view David Dotson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Dotson'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 24, 2020 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 7240 S. 135th Street, Seattle, WA 98178Office #2: 10209 Bridgeport Way Sw, Suite D10, Tacoma, WA 98499RIA
BD
CRD#: 11869
Seattle, WA
Current
March 3, 2020 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 7240 S. 135th Street, Seattle, WA 98178Office #2: 10209 Bridgeport Way Sw, Suite D10, Tacoma, WA 98499RIA
BD
CRD#: 11869
Seattle, WA
Past
February 28, 2012 - December 5, 2019
CETERA ADVISORS LLC
BD
CRD#: 10299
SEATTLE, WA
Past
August 31, 2007 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
RENTON, WA
Past
February 15, 2005 - August 31, 2007
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
RENTON, WA
Past
August 1, 2000 - February 15, 2005
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
April 11, 1997 - August 1, 2007
SHELGREN FINANCIAL GROUP, INC.
RIA
CRD#: 117056
RENTON, WA
Past
February 14, 1997 - August 1, 2000
INVESTORS BROKERAGE SERVICES, INC.
BD
CRD#: 4257
ELGIN, IL
Past
August 1, 1996 - January 20, 1997
INTERPACIFIC INVESTORS SERVICES, INC.
BD
CRD#: 4879
SEATTLE, WA
Past
March 17, 1995 - August 9, 1996
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
December 6, 1991 - March 20, 1995
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 6, 1991 - March 20, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(3/3/2020)
RR
Montana(3/3/2020)
RR
Ohio(3/3/2020)
RR
Washington(3/3/2020)
IAR
Washington(8/24/2020)
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.
