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AF

Anna C. Furtado

Some features on this profile are disabled
CRD#: 2439284
AF

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.

Anna Cristinha Furtado, who also goes by Anna Christine Furtado, Anna Christinha Furtado, Anna Christinnha Furtado, Anna Cristinha Furtado, Chris Furtado, Christina A Furtado, Cris Furtado, A. Cristinha Furtado, Ann Cristinha Furtado, was a registered financial professional .

Anna is a previously registered financial professional and started their career in finance in 1994. Anna had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anna Christine Furtado | Anna Christinha Furtado | Anna Christinnha Furtado | Anna Cristinha Furtado | Chris Furtado | Christina A Furtado | Cris Furtado | A. Cristinha Furtado | Ann Cristinha Furtado

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 5, 2018 - August 22, 2019

PLANMEMBER SECURITIES CORPORATION

RIA
CRD#: 11869
SAN DIEGO, CA
Past

July 5, 2018 - August 22, 2019

PLANMEMBER SECURITIES CORPORATION

BD
CRD#: 11869
SAN DIEGO, CA
Past

September 16, 2008 - May 31, 2018

GWN SECURITIES INC.

RIA
CRD#: 128929
SAN DIEGO, CA
Past

September 15, 2008 - May 31, 2018

GWN SECURITIES INC.

BD
CRD#: 128929
SAN DIEGO, CA
Past

October 31, 2005 - September 16, 2008

OSAIC SERVICES, INC.

RIA
CRD#: 133763
SAN DIEGO, CA
Past

October 31, 2005 - September 16, 2008

OSAIC SERVICES, INC.

BD
CRD#: 133763
SAN DIEGO, CA
Past

June 30, 2005 - October 31, 2005

SENTRA SECURITIES CORPORATION

RIA
CRD#: 10249
SAN DIEGO, CA
Past

November 6, 2003 - October 31, 2005

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

March 31, 2003 - November 10, 2003

LPL FINANCIAL LLC

RIA
CRD#: 6413
LA JOLLA, CA
Past

June 26, 2002 - November 10, 2003

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

March 6, 2002 - June 17, 2002

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

November 2, 1998 - February 22, 2002

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

November 25, 1997 - September 29, 1998

INVESTORS BROKERAGE SERVICES, INC.

BD
CRD#: 4257
ELGIN, IL
Past

August 27, 1997 - November 10, 1998

PLANMEMBER SECURITIES CORPORATION

BD
CRD#: 11869
CARPINTERIA, CA
Past

January 24, 1994 - September 15, 1997

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

January 24, 1994 - September 15, 1997

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/28/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/17/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/8/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/12/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/17/2005
General Securities Principal Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PLANMEMBER WRAP FEE PROGRAM ELITE STRATEGIST DECEMBER 2024 (3/31/2025)
PLANMEMBER SCARBOROUGH BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER OPTIFUND BROCHURE 2023 MARCH (3/31/2025)
PLANMEMBER NON-PLATFORM IRA BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER SCHWAB IAR PROGRAM FEBRUARY 2025 (3/31/2025)
PLANMEMBER RETIREMENT INVESTMENT BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER Q8P IAR PROGRAM 2023 MARCH (3/31/2025)
PLANMEMBER WRAP FEE PROGRAM INVESTMENT SAVINGS PLUS (3/31/2025)
PLANMEMBER PREFERENCE AND IAR BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER WORKPLACE ADVISORY PROGRAM 2023 MARCH (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
PLANMEMBER FINANCIAL CORPORATIONOWNER
BOWMAN, BYRON FRANCISCHIEF LEGAL OFFICER & SECRETARY2673117
HALEY, SEAN PATRICKCHIEF COMPLIANCE OFFICER2837579
HANSON, STEVEN RCHIEF FINANCIAL OFFICER / FINOPS4854600
JANEWAY, TERRALL JOSEPHEVP/CHIEF OPERATING OFFICER2947154
ZIEHL, JON MICHAELPRESIDENT707642

Regulatory assets under management

Total Number of Accounts68,978
AUM (Assets Under Management)$ 9,035,509,268

Disclosures

Regulatory Event5

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/21/2022
Cover Page
Report
12/21/2022
Cover Page
Report

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#: 11869

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