Elizabeth Ellen Smith
Professional Summary
Elizabeth Ellen Smith, who also goes by Elizabeth Ellen Horton, Liz Smith, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Bend, Oregon. Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Elizabeth has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Elizabeth Ellen Horton, Liz Smith
Similar Advisors
TCFG INVESTMENT ADVISORS, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
JANNEY MONTGOMERY SCOTT LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
TCFG INVESTMENT ADVISORS, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
JANNEY MONTGOMERY SCOTT LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
TCFG INVESTMENT ADVISORS, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
JANNEY MONTGOMERY SCOTT LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
TCFG INVESTMENT ADVISORS, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
JANNEY MONTGOMERY SCOTT LLC
Years of Experience
31 years in the financial services industry
Current & Past Employments
Similar Advisors
TCFG INVESTMENT ADVISORS, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
JANNEY MONTGOMERY SCOTT LLC
Current Firm
INVESTORS RETIREMENT & MANAGEMENT CORPORATION | PLANMEMBER SECURITIES CORPORATION | IRM DISTRIBUTORS, INC.
Contact Information
Main Address
6267 Carpinteria Avenue, Carpinteria, CA 93013Mailing Address
6267 Carpinteria Avenue, Carpinteria, CA 93013-2060Phone Number
(805) 684-1199Established
California since 03/12/1982Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
429SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 52 US 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
69,645AUM (Assets Under Management)
$10,120,552,229Disclosures
Regulatory Event
5Similar Advisors
TCFG INVESTMENT ADVISORS, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
JANNEY MONTGOMERY SCOTT LLC
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.
Similar Advisors
TCFG INVESTMENT ADVISORS, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
JANNEY MONTGOMERY SCOTT LLC
Primary Firm SEC Registration
INVESTORS RETIREMENT & MANAGEMENT CORPORATION | PLANMEMBER SECURITIES CORPORATION | IRM DISTRIBUTORS, INC.
State Registrations and Notice Filings
(1/3/2022)
(12/17/2021)
(12/6/2022)
(10/28/2024)
(1/19/2024)
(12/23/2021)
(12/23/2021)
(1/3/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1995About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed May 1997About the Series 26 examSRO Registrations
Similar Advisors
TCFG INVESTMENT ADVISORS, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
JANNEY MONTGOMERY SCOTT LLC
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Ellen Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Ellen Smith's CRS (Customer Relationship Summary).
Similar Advisors
TCFG INVESTMENT ADVISORS, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
JANNEY MONTGOMERY SCOTT LLC
