HA
Harvey C. Atterbury
PLANMEMBER SECURITIES
Carlsbad, CA 92008
Some features on this profile are disabled
CRD#: 2385982
HA
Professional summary
Harvey Clark Atterbury, who also goes by Clark Kent Atterbury, Clark Atterbury, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Carlsbad, California.
Harvey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Harvey has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Clark Kent Atterbury | Clark Atterbury
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) Atterbury Investment Management, Inc; 1902 Wright Pl., 2nd Floor, Carlsbad, CA 92008; Start Date: 2/16/2017; President; Nature of Bus: financial services including securities and insurance which includes fixed, long term care and disability; IR; Approx. Number of Hours/Month Devoted to this Business: 160; Approx. Number of Hours/Month Devoted to this Business during trading hours: 160 2) MUSICAL BAND; 1902 Wright Pl., 2nd Floor, Carlsbad, CA 92008; START DATE: 03/2006; BAND LEADER;16 HRS/MO; 0 HRS/MO DURING TRADING; 3) MPD WEALTH; 1011 Camino Del Rio S. Ste 550, San Diego CA 92108; Start Date 07/24/2024; Agent; MPD Wealth is a DBA entity for insurance and securities sales/svcs including PlanMember Securities Corp. securities related business, products and services and is used to engage clients under the FBC. Clients not involved with the FBC to be engaged under Atterbury Investment Management Inc.; 10 hrs/mo 10 hrs/mo during trading; IR 4) FBC MODEL PLAN; 1902 Wright Pl Suite 200, Carlsbad CA 92108; Start Date 07/24/2024; Agent; FBC Model Plan is a DBA entity for insurance and securities sales/svcs including PlanMember Securities Corp. securities related business, products and services and is used to engage clients under the FBC. Clients not involved with the FBC to be engaged under Atterbury Investment Management Inc.; 10 hrs/mo; 10 hrs/mo during trading; IR
CRS (Client Relationship Summary) - RIA
Click below to view Harvey Clark Atterbury's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Harvey Clark Atterbury'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 1, 2009 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 1902 Wright Pl. 2nd Floor, Carlsbad, CA, 92008RIA
BD
CRD#: 11869
Carlsbad, CA
Current
August 31, 2009 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 1902 Wright Pl. 2nd Floor, Carlsbad, CA, 92008RIA
BD
CRD#: 11869
Carlsbad, CA
Past
August 21, 2006 - October 7, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
RANCHO CUCAMONGA, CA
Past
August 21, 2006 - October 7, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
RANCHO CUCAMONGA, CA
Past
December 28, 2000 - August 22, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
RIVERSIDE, CA
Past
December 11, 2000 - August 22, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
RIVERSIDE, CA
Past
June 1, 2000 - December 12, 2000
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
July 12, 1999 - May 18, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
June 19, 1997 - July 12, 1999
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
July 21, 1995 - January 21, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 22, 1993 - June 19, 1995
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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(3/28/2012)
RR
Arizona(10/7/2009)
RR
Arkansas(12/8/2021)
RR
California(9/1/2009)
IAR
California(9/1/2009)
RR
Idaho(7/3/2019)
RR
Nevada(12/7/2023)
RR
North Carolina(1/16/2018)
RR
Oregon(10/10/2016)
RR
Tennessee(12/7/2023)
RR
Texas(10/6/2021)
IAR
Texas(10/6/2021)
RR
Utah(11/18/2009)
RR
Washington(1/4/2012)
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.
