TH
Timothy B. Howe
PLANMEMBER SECURITIES
Naples, FL 34103
Some features on this profile are disabled
CRD#: 2295870
TH
Professional summary
Timothy Bain Howe, who also goes by Timothy B Howe, Bain Howe, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Naples, Florida.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Timothy has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Timothy B Howe | Bain Howe
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) Retirement Planning Associates (RPA) dba Daybright Financial - 4575 Via Royale, Suite 205 Fort Myers, FL 33919; Investment related; Financial and insurance sales & services; Agent; Start date 9/18; 80 hrs/mnth & during trading. 2) Bencor-4575 Via Royale, Suite 205 Fort Myers, FL 33919; Investment related; Provides tax qualified, defined contribution retirement plans/fixed insurance products; Representative; Start date 9/18; 50 hrs/mnth & during trading. 3) MSRK, Inc.-4575 Via Royale, Suite 205 Fort Myers, FL 33919; Investment related; Retirement planning, insurance and securities sales & services; Vice President; Start date 9/18; 120 hrs/mnth & during trading. 4) St. John Neumann Catholic H.S. Band Booster Club-3000 53rd St. SW, Naples, FL 34116; Noninvestment related; Planning Committee; Parent volunteer; Start date 9/18; 1 hr/mnth; 0 hrs/mnth during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Bain Howe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Bain Howe'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
September 25, 2018 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 5051 Castello Square, #248, Naples, FL 34103Office #2: 4575 Via Royale, Suite 205, Fort Myers, FL 33919RIA
BD
CRD#: 11869
Naples, FL
Current
September 21, 2018 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 5051 Castello Square, #248, Naples, FL 34103Office #2: 4575 Via Royale, Suite 205, Fort Myers, FL 33919RIA
BD
CRD#: 11869
Naples, FL
Past
June 30, 2015 - September 5, 2018
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
RIA
CRD#: 134510
Naples, FL
Past
May 1, 2015 - September 5, 2018
HERBERT J. SIMS & CO, INC.
BD
CRD#: 3420
Naples, FL
Past
August 31, 2009 - March 11, 2014
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
ALBANY, NY
Past
August 31, 2009 - March 11, 2014
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
ALBANY, NY
Past
May 27, 2009 - August 31, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
EAST HARTFORD, CT
Past
May 27, 2009 - September 8, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
DETROIT, MI
Past
May 27, 2009 - August 31, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
EAST HARTFORD, CT
Past
May 27, 2009 - September 8, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
February 14, 2008 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DAYTON, OH
Past
March 8, 2006 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DAYTON, OH
Past
July 25, 2000 - March 8, 2006
ADVEST, INC.
BD
CRD#: 10
ITHACA, NY
Past
March 14, 1994 - May 3, 1994
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
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
Alabama(10/19/2023)
RR
Arizona(12/13/2022)
RR
Florida(9/21/2018)
IAR
Florida(9/25/2018)
RR
Georgia(1/6/2022)
RR
Maine(12/13/2022)
RR
Massachusetts(12/13/2022)
RR
Michigan(5/22/2023)
RR
Tennessee(12/9/2019)
RR
Texas(2/24/2022)
IAR
Texas(2/24/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
