MB
Mark L. Balsamo
PLANMEMBER SECURITIES
Jeanette, PA
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CRD#: 2236369
MB
Professional summary
Mark Louis Balsamo is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Jeanette, Pennsylvania.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Mark 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
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.
PREMIER FINANCIAL NETWORK; 626 CLAY AVENUE
JEANETTE, PA 15644;START 1/1/2010; TAX PREPARATION; 50% OWNERSHIP;GENERAL PARTNER- LIFE INSURANCE, FIXED AND VA ANNUITIES;NUM. OF HRS/MTH DEVOTED TO THIS BUS:120;NUM OF HRS/MTH DEVOTED TO THIS BUS: DURING TRADING HOURS:100 IR
CRS (Client Relationship Summary) - RIA
Click below to view Mark Louis Balsamo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Louis Balsamo'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
June 9, 2020 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Jeanette, PA
Current
May 4, 2006 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Jeanette, PA
Past
June 30, 2005 - May 4, 2006
FORTUNE FINANCIAL SERVICES, INC.
BD
CRD#: 42150
MONACA, PA
Past
October 28, 2002 - June 30, 2005
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
October 26, 2000 - November 11, 2002
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
January 22, 1999 - September 11, 2000
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
January 22, 1999 - September 11, 2000
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
August 21, 1997 - October 30, 1998
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
June 22, 1995 - April 4, 1996
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
Past
May 25, 1994 - December 31, 1994
NORTH AMERICAN MANAGEMENT, INC.
BD
CRD#: 624
SIOUX FALLS, SD
Past
January 8, 1993 - March 25, 1994
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
July 9, 1992 - September 23, 1992
L.C. WEGARD & CO., INC.
BD
CRD#: 3722
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
Delaware(1/30/2020)
RR
Florida(1/9/2025)
RR
Minnesota(12/17/2024)
RR
Pennsylvania(5/4/2006)
IAR
Pennsylvania(6/9/2020)
RR
South Carolina(1/2/2014)
RR
Virginia(9/27/2017)
RR
West Virginia(9/3/2020)
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.
