JM
Joseph D. Mcgoldrick
PLANMEMBER SECURITIES
La Jolla, CA 92037
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CRD#: 2246099
JM
Professional summary
Joseph Dewar Mcgoldrick is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in La Jolla, California.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Joseph has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
1) Joseph D. McGoldrick dba Financial Insurance Services-5678 Bellevue Ave., La Jolla, CA 92037; Investment related; Securities & Insurance Sales & Svcs; Investment Advisory Representative; Start date 5/16; approx. 80 hrs/mnth & during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Dewar Mcgoldrick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Dewar Mcgoldrick'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 5, 2016 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 5678 Bellevue Avenue, La Jolla, CA 92037RIA
BD
CRD#: 11869
La Jolla, CA
Current
August 5, 2016 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 5678 Bellevue Avenue, La Jolla, CA 92037RIA
BD
CRD#: 11869
La Jolla, CA
Past
May 13, 2016 - August 17, 2016
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
LA JOLLA, CA
Past
February 16, 2010 - December 31, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
LA JOLLA, CA
Past
February 16, 2010 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
LA JOLLA, CA
Past
January 5, 2005 - February 17, 2010
CINCINNATI ANALYSTS, INC.
RIA
CRD#: 5478
LAJOLLA, CA
Past
April 19, 1999 - February 17, 2010
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
LAJOLLA, CA
Past
January 12, 1998 - April 15, 1999
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
Past
June 4, 1996 - December 31, 1997
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
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
Arizona(8/5/2016)
RR
California(8/5/2016)
IAR
California(8/5/2016)
RR
Colorado(8/5/2016)
RR
Hawaii(5/9/2018)
RR
Washington(8/5/2016)
RR
Wisconsin(9/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
