RM
Ray A. Mcginnis
PLANMEMBER SECURITIES
South Shore, KY 41175
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CRD#: 2328296
RM
Professional summary
Ray Anthony Mcginnis, who also goes by Ray Anthony Mcginns, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in South Shore, Kentucky.
Ray is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Ray has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ray Anthony Mcginns
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) Ray McGinnis Financial Services-74 Biggs Lane, South Shore, KY 41175; Investment related; Insurance (life, annuities, LTC, disability, health) sales & svcs; Owner; Start date 9/1981; 160 hrs/mnth; 100 hrs/mnth during trading. 2) 8th St. Wesleyan Chapel-1514 8th St, West Portsmouth, OH 45663; Noninvestment related; Church - Board Member; Start date 2/2017; 28 hrs/mnth 0 hrs/mnth during trading. 3) Mylee's Missions - 640 2nd St, Portsmouth, OH 45662; Noninvestment related; Charity Organization; Board Member; Start date 3/2010; 1 hrs/mnth; 0 hrs/mnth during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Ray Anthony Mcginnis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ray Anthony Mcginnis'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
February 23, 2022 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 74 Biggs Lane, South Shore, KY 41175RIA
BD
CRD#: 11869
South Shore, KY
Current
February 23, 2022 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 74 Biggs Lane, South Shore, KY 41175RIA
BD
CRD#: 11869
South Shore, KY
Past
March 25, 2017 - March 3, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
PORTSMOUTH, OH
Past
March 25, 2017 - March 3, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
PORTSMOUTH, OH
Past
October 12, 2006 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
PORTSMOUTH, OH
Past
September 13, 2001 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
PORTSMOUTH, OH
Past
September 13, 2001 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
PORTSMOUTH, OH
Past
January 6, 1997 - August 31, 2001
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
June 10, 1993 - January 15, 1997
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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
Colorado(3/4/2022)
RR
Florida(2/24/2022)
RR
Georgia(3/4/2022)
RR
Illinois(3/4/2022)
RR
Indiana(3/3/2022)
RR
Kansas(3/3/2022)
RR
Kentucky(3/4/2022)
IAR
Kentucky(6/21/2024)
RR
Maryland(1/12/2023)
RR
North Carolina(2/24/2022)
RR
Ohio(2/23/2022)
IAR
Ohio(2/23/2022)
RR
Tennessee(2/24/2022)
RR
Texas(3/4/2022)
RR
Virginia(3/5/2022)
RR
West Virginia(2/24/2022)
Exams
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.
Company Information
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869South Shore, KY 41175TRUST BUT VERIFY
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Contact information
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