Jeffrey D. Grau

PLANMEMBER SECURITIES

Campbell, CA 95008

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CRD#: 2542386

Professional summary

Jeffrey Dana Grau, who also goes by Jeff Grau, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Campbell, California.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Jeffrey has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Grau

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) EMPLOYEE BENEFITS SERVICES GROUP / Daybright Financial - 901 Campisi Way, Suite 240, Campbell, CA 95008; START DATE 10/2011;INSURANCE PRODUCT SALES/SERVICES (LIFE, HEALTH, LTC, DISABILITY, FIAS); AGENT/REPRESENTATIVE; START DATE 10/2011;160HRS/MNTH; 160 HRS/MNTH DURING TRADING; IR. 2) Arbiter Sports; 3755 Thousand Oaks Drive San Jose CA 95136; start date 1/31/2022; Referee; Referee for high school and club softball and water polo games; 20 hrs/mo; 0 hrs/mo during trading; NIR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Dana Grau's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Dana Grau's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 17, 2011 - Present

PLANMEMBER SECURITIES CORPORATION

Office #1: 901 Campisi Way, Suite 240, Campbell, CA 95008

RIA

CRD#: 11869

Campbell, CA

Current

November 17, 2011 - Present

PLANMEMBER SECURITIES CORPORATION

Office #1: 901 Campisi Way, Suite 240, Campbell, CA 95008

RIA

CRD#: 11869

Campbell, CA

Past

January 10, 2011 - October 14, 2011

TD AMERITRADE, INC.

RIA

CRD#: 7870

CUPERTINO, CA

Past

January 10, 2011 - October 14, 2011

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

CUPERTINO, CA

Past

January 10, 2011 - October 14, 2011

TD AMERITRADE, INC.

CRD#: 7870

CUPERTINO, CA

Past

October 22, 2008 - October 13, 2009

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

EMERYVILLE, CA

Past

July 21, 2008 - October 13, 2009

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

EMERYVILLE, CA

Past

January 27, 2004 - June 25, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

GILROY, CA

Past

January 18, 2000 - December 31, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 16, 1998 - August 31, 1999

AMERICAN CENTURY BROKERAGE, INC.

CRD#: 42846

KANSAS CITY, MO

Past

December 20, 1996 - December 18, 1997

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

September 27, 1994 - December 6, 1996

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, 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".

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)

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.

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

California
(11/17/2011)

IAR

California
(11/17/2011)

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

State Security Law Exam

IAR

Series 66

Date: 10/21/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/30/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/27/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/26/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/5/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/30/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 12/14/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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

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

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

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Advisor Monitoring

Firm Stability Insights

Jeffrey D. Grau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Dana Grau's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Dana Grau's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLANMEMBER SECURITIES CORPORATION

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

AMERICAN CENTURY BROKERAGE, INC.

GRIFFIN FINANCIAL SERVICES

WELLS FARGO SECURITIES INC.

Primary Firm SEC Registration

PLANMEMBER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 10/21/2008

Series 63

Date: 9/30/1994

SIE

Date: 10/1/2018

Series 7

Date: 6/27/1995

Series 6

Date: 9/26/1994

Series 10

Date: 6/5/2000

Series 9

Date: 5/30/2000

Series 24

Date: 12/14/1998

FINRA

Current Firm

PLANMEMBER SECURITIES CORPORATION

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PLANMEMBER SECURITIES CORPORATION

TRUST BUT VERIFY

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