AC
Alan M. Chinen
PLANMEMBER SECURITIES
Irvington, NY 10533
Some features on this profile are disabled
CRD#: 2251117
AC
Professional summary
Alan Masanobu Chinen, who also goes by Alan M Chinen, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Irvington, New York.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Alan has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alan M Chinen
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)CHINEN & ARINAGA FINANCIAL GROUP- 95-119 Kamehameha Hwy. Suite A, Mililani, HI 96789-3393; INVESTMENTS, FIXED & HEALTH INSURANCE PRODUCTS; PRES. & CEO, CHAIRMAN OF THE BOARD; START DATE 01/92; 320 HRS/MNTH; 160 HRS/MNTH DURING TRADING; IR. 2)CHINEN & ARINAGA FINANCIAL GROUP-95-119 Kamehameha Hwy. Suite A, Mililani, HI 96789-3393; INVESTMENTS, FIXED & HEALTH INSURANCE PRODUCTS; FINANCIAL ADVISOR; START DATE 1/92; 2 HRS/MNTH; 2 HRS/MNTH DURING TRADING; IR; 3)IRONWORKERS SCHOLARSHIP-94-497 UKEE STREET WAIPAHU, HI 96797-; CHARITABLE TRUST;- 95-119 Kamehameha Hwy. Suite A, Mililani, HI 96789-3393; DIRECTOR; START DATE 2006; 1 HR/MNTH; 0 HRS/MNTH DURING TRADING; IR. 4)ALAN & FLORENCE CHINEN(DBA)-- 95-119 Kamehameha Hwy. Suite A, Mililani, HI 96789-3393; START DATE 1995; AMWAY PRODUCT SALES FOR PERSONAL USE; OWNER; 0 HRS/MNTH; NIR." 5)CHINEN&ARINAGA CHARITABLE FOUNDATION;95-119 Kamehameha Hwy. Suite A, Mililani, HI 96789-3393; 1/1/2014; TRUSTEE/CO-TRUSTEE/RAISING FUNDS FOR LOCAL CHARITIES; NON PROFIT;NOT INVESTMENT RELATED; COMMITTEE MEMBER;NUM OF HRS/MTH DEVOTED TO THIS BUS:1 ; DURING TRADING HRS:0 6)SCARBOROUGH ALLIANCE GROUP; ONE BRIDGE STREET, SUITE 70 IRVINGTON, NY 10533; AGENT; START DATE: 8/1/2011; NATURE OF BUSINESS: RETIREMENT PLANNING AND INVESTMENT RELATED SERVICES ; IR; APPROX. NUMBER OF HOURS/MONTH DEVOTED TO THIS BUSINESS: 20; APPROX. NUMBER OF HOURS/MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS: 4 7)CAFG LLC 95-119 Kamehameha Hwy Mililani, HI 96789 808-352-0410;Owner commercial building, manage rental units. Non-Investment Related.12k annual compensation rent/leases. 50% ownership. 0hrs during trading 20 hrs/month. 8)National Benefit Services, LLC; PO Box 6980 West Jordan UT 84084; NBS Certified Educator; present financial education presentations; start date 2/11/2019; 1 hr/mo; 1 hrs/mo during trading; NIR 8) The Central In Mililani Foundation - Director /Vice Chairman THE PURPOSES FOR WHICH THE CORPORATION IS FORMED, AND THE BUSINESS TO BE CARRIED ON AND PROMOTED BY IT ARE AS FOLLOWS: (A) TO SPONSOR AND ENGAGE IN EVENTS, PROGRAMS, AND OTHER ACTIVITIES THAT PROVIDE FINANCIAL AND OTHER ASSISTANCE TO PERSONS AND FAMILIES IN NEED 7/15/2020 to present 95-119 Kamehameha HWY Suite C Mililani, HI 96789 Non Profit Member Social Club 8hrs/mo/ 0 hrs during trading/Voluntary no financial compensation. NON IR.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Masanobu Chinen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Masanobu Chinen'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
July 1, 2011 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: One Bridge Street, Suite 70, Irvington, NY 10533Office #2: 95-119 Kamehameha Hwy, Suite A, Mililani, HI 96789-3393RIA
BD
CRD#: 11869
Irvington, NY
Current
July 1, 2011 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: One Bridge Street, Suite 70, Irvington, NY 10533Office #2: 95-119 Kamehameha Hwy, Suite A, Mililani, HI 96789-3393RIA
BD
CRD#: 11869
Irvington, NY
Past
March 13, 2002 - June 30, 2011
SIGNATOR FINANCIAL SERVICES, INC.
RIA
CRD#: 19061
MILILANI, HI
Past
November 30, 2001 - June 30, 2011
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
MILILANI, HI
Past
February 29, 2000 - December 3, 2001
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
CARPINTERIA, CA
Past
August 10, 1992 - March 2, 2000
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
BOSTON, MA
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
Alaska(7/1/2011)
RR
Arizona(7/1/2011)
RR
California(7/1/2011)
RR
Colorado(7/1/2011)
RR
Connecticut(1/4/2012)
RR
Florida(7/1/2011)
RR
Hawaii(7/1/2011)
IAR
Hawaii(7/1/2011)
RR
Illinois(7/1/2011)
RR
Maryland(10/8/2021)
RR
Massachusetts(8/3/2021)
RR
Michigan(7/1/2011)
RR
Missouri(7/1/2011)
RR
Nebraska(12/17/2021)
RR
Nevada(7/1/2011)
RR
New Jersey(12/17/2021)
RR
New York(7/1/2011)
RR
North Dakota(12/17/2021)
RR
Oregon(7/1/2011)
RR
South Carolina(8/3/2021)
RR
Texas(1/4/2012)
RR
Virginia(7/1/2011)
RR
Washington(7/1/2011)
RR
Wisconsin(7/1/2011)
Exams
State Security Law Exam
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.
