RS
Ronald F. Slatton
PLANMEMBER SECURITIES
Athens, AL 35611
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CRD#: 2468108
RS
Professional summary
Ronald Farris Slatton, who also goes by Ron Slatton, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Athens, Alabama.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Ronald has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ron Slatton
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. RONALD SLATTON (SELF EMPLOYED)-115 US Highway 31 South Athens AL 35611; INVESTMENT RELATED; INSURANCE SALES & SERVICES; AGENT; START DATE 1989; 160 HRS/MNTH & DURING TRADING. 2. RONALD SLATTON (SELF EMPLOYED)-115 US Highway 31 South Athens AL 35611; NONINVESTMENT RELATED; OFFICIATING/UMPIRING; START DATE 8/92; 20 HRS/MNT; 0 HRS/MNTH DURING TRADING. 3. MONROVIA UMPIRES ASSOCIATION-115 US Highway 31 South Athens AL 35611; NONINVESTMENT RELATED; PRESIDENT/TREASURER; START DATE 3/11; 15-20 HRS/MNTH; 0 HRS/MNTH DURING TRADING.
4.Innovative Financial Solutions; 115 US Highway 31 South Athens AL 35611; Agent; Start Date: 3/1/2016; Nature of Bus: Financial and Insurance sales and services; IR; Approx. Number of Hours/Month Devoted to this Business: 40; Approx. Number of Hours/Month Devoted to this Business during trading hours: 40
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Farris Slatton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald Farris Slatton'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 11, 2016 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 115 Us Highway 31 South, Athens, AL 35611RIA
BD
CRD#: 11869
Athens, AL
Current
October 7, 2013 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 115 Us Highway 31 South, Athens, AL 35611RIA
BD
CRD#: 11869
Athens, AL
Past
September 13, 2004 - October 7, 2013
VERITRUST FINANCIAL, LLC
BD
CRD#: 106594
AUSTIN, TX
Past
February 4, 2003 - October 13, 2004
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
February 28, 2000 - October 12, 2001
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
September 24, 1999 - March 9, 2000
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
February 9, 1998 - August 31, 1998
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
Past
February 6, 1996 - December 31, 1997
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
Past
July 6, 1994 - August 31, 1998
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
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
Alabama(10/7/2013)
IAR
Alabama(10/11/2016)
RR
Georgia(8/2/2022)
RR
Indiana(8/4/2022)
RR
Louisiana(3/14/2024)
RR
New York(8/2/2022)
RR
North Carolina(10/7/2013)
RR
Oklahoma(8/2/2022)
RR
Pennsylvania(8/1/2022)
RR
Tennessee(5/4/2018)
Exams
State Security Law Exam
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#: 11869Athens, AL 35611TRUST BUT VERIFY
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