Sabrina M. Curtiss
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sabrina Mary Anne Curtiss, who also goes by Sabrina Mary Anne Curtiss Mrs, Sabrina Mary Anne Curtiss Ms, Sabrina Goodman, was a registered financial professional .
Sabrina is a previously registered financial professional and started their career in finance in 1999. Sabrina had worked at 12 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2016 - November 30, 2017
PLANMEMBER SECURITIES CORPORATION
April 7, 2014 - April 29, 2014
GILDER GAGNON HOWE & CO. LLC
January 10, 2011 - January 2, 2013
GROVE POINT INVESTMENTS, LLC
April 1, 2010 - May 3, 2010
BROOKVILLE CAPITAL PARTNERS
April 30, 2008 - December 19, 2008
INVESTORS CAPITAL CORP.
October 23, 2007 - December 19, 2008
INVESTORS CAPITAL CORP.
March 20, 2007 - November 7, 2007
NOBLE CAPITAL MARKETS, INC.
March 7, 2005 - October 7, 2005
ASD FINANCIAL SERVICES CORP
September 13, 2004 - December 17, 2004
GUNNALLEN FINANCIAL, INC
August 27, 2003 - October 27, 2003
NEWBRIDGE SECURITIES CORPORATION
July 9, 2002 - June 3, 2003
NEWBRIDGE SECURITIES CORPORATION
January 21, 2000 - July 14, 2000
CONTINENTAL BROKER-DEALER CORP.
April 20, 1999 - October 22, 1999
GKN SECURITIES CORP.
February 8, 1999 - April 24, 1999
PHD CAPITAL
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
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.
