SL
Stephen A. Lalli
PLANMEMBER SECURITIES
Torrance, CA 90501
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CRD#: 2391129
SL
Professional summary
Stephen Andrew Lalli, who also goes by Steve Lalli, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Torrance, California.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Stephen has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Lalli
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)AFLAC- 5120 W GOLDLEAF CIRCLE SUITE 160 LOS ANGELES CA 90056 .SUPPLEMENTAL INSURANCE SOLD TO INDIVIDUALS AND BUSINESSES ;START DATE 01/2006. AGENT ;100 HRS/MONTH DEVOTED TO BUS;80 HRS/MONTH DURING TRADING HOURS;INVESTMENT RELATED 2)STEPHEN A LALLI;21151 S. Western Ave, Suite 274 TORRANCE CA 90501;SALES OF LIFE INSURANCE AND LTC;AGENT;START 01/2006; 02HRS/MO; 5HRS/MO DURING TRADING;NIR
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Andrew Lalli's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Andrew Lalli'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
October 12, 2006 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 21151 S. Western Avenue Suite 274, Torrance, CA 90501RIA
BD
CRD#: 11869
Torrance, CA
Current
August 11, 2006 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 21151 S. Western Avenue Suite 274, Torrance, CA 90501RIA
BD
CRD#: 11869
Torrance, CA
Past
February 23, 2006 - August 16, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
PASADENA, CA
Past
December 5, 2005 - February 1, 2006
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
TORRANCE, CA
Past
December 5, 2005 - February 1, 2006
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
TORRANCE, CA
Past
November 27, 2001 - December 31, 2005
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
November 20, 1995 - December 6, 2001
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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(12/7/2023)
RR
California(8/11/2006)
IAR
California(10/12/2006)
RR
Connecticut(3/13/2008)
RR
Delaware(6/1/2021)
RR
Florida(7/26/2022)
RR
Georgia(4/14/2021)
RR
Nevada(4/20/2021)
RR
New Jersey(8/11/2006)
RR
Pennsylvania(1/20/2022)
RR
South Carolina(4/13/2021)
RR
Tennessee(7/16/2025)
RR
Utah(4/13/2021)
RR
Wisconsin(2/8/2021)
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.
