KB
Keith F. Brady
PLANMEMBER SECURITIES
Farmingville, NY 11738
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CRD#: 2613526
KB
Professional summary
Keith Francis Brady is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Farmingville, New York.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Keith has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) MUTUAL INC / Daybright Financial -2410 NORTH OCEAN AVE., STE 401, FARMINGVILLE, NY 11738; INVESTMENT RELATED; FINANCIAL/INVESTMENT/SECURITIES SALES & SVCS; REPRESENTATIVE; START DATE 8/14; 200 HRS/MNTH & DURING TRADING. 2) SOUTH SHORE FINANCIAL SVCS LLC-582 PAT DR, WEST ISLIP, NY 11795; NONINVESTMENT RELATED; ACCOUNTING & INDIVIDUAL TAX PREPARATION; PARTNER; START DATE 12/07; 20 HRS/MNTH; 0 HRS/MNTH DURING TRADING. 3) KEITH F. BRADY (SELF EMPLOYED)-2350 BROADHOLLOW RD, FARMINGDALE, NY 11735; NONINVESTMENT RELATED; ADJUNCT PROFESSOR OF ACCOUNTING-SUNY FARMINGDALE; START DATE 6/13; 25 HRS/MNTH; 0 HRS/MNTH DURING TRADING. 4)Keith F. Brady; 2410 North Ocean Ave, Suite 401 Farmingville NY 11738; Start date 9/1/2014; Insurance Sales Agent; Sales and service of insurance products; 12 hrs/mo; 10 hrs/mo during trading; IR 5)ADULTS AND CHILDREN WITH LEARNING DISABILITIES; 807 South Oyster Bay Rd., Bethpage NY 11714, Start date 1/1/2022; Board of Trustee member; Non-Profit that Assists and educates individuals with learning disabilities ; number of hrs/mo 3; number of hrs/mo during trading; NIR
CRS (Client Relationship Summary) - RIA
Click below to view Keith Francis Brady's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith Francis Brady'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
September 2, 2014 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2410 North Ocean Avenue, Suite 401, Farmingville, NY 11738RIA
BD
CRD#: 11869
Farmingville, NY
Current
August 28, 2014 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2410 North Ocean Avenue, Suite 401, Farmingville, NY 11738RIA
BD
CRD#: 11869
Farmingville, NY
Past
November 18, 2013 - August 28, 2014
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
WANTAGH, NY
Past
November 13, 2013 - August 28, 2014
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
WANTAGH, NY
Past
July 29, 2010 - July 3, 2013
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
NEW HYDE PARK, NY
Past
May 30, 2008 - June 8, 2010
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
NEW HYDE PARK, NY
Past
May 30, 2008 - July 3, 2013
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NEW HYDE PARK, NY
Past
October 4, 2006 - May 29, 2008
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
BAYSHORE, NY
Past
October 4, 2006 - May 29, 2008
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
BAYSHORE, NY
Past
April 13, 2006 - October 4, 2006
BNY INVESTMENT CENTER INC.
RIA
CRD#: 47683
BRIGHTWATERS, NY
Past
November 16, 1999 - October 4, 2006
BNY INVESTMENT CENTER INC.
BD
CRD#: 47683
NEW YORK, NY
Past
August 19, 1998 - December 13, 1999
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
July 31, 1998 - September 2, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
July 31, 1998 - September 2, 1998
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
July 17, 1997 - July 24, 1998
CLARKSONS SECURITIES, INC
BD
CRD#: 30882
NEW YORK, NY
Past
August 30, 1995 - June 28, 1996
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, 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
Colorado(5/25/2021)
RR
Connecticut(1/21/2020)
RR
Florida(1/21/2020)
RR
Massachusetts(1/21/2020)
RR
Minnesota(9/26/2024)
RR
Nevada(6/17/2021)
RR
New Jersey(8/29/2014)
RR
New York(8/28/2014)
IAR
New York(6/29/2021)
RR
North Carolina(1/21/2020)
RR
Pennsylvania(9/24/2015)
RR
South Carolina(1/21/2020)
RR
Texas(5/25/2021)
IAR
Texas(5/25/2021)
RR
Virginia(5/25/2021)
RR
Wisconsin(1/15/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 11869Farmingville, NY 11738TRUST BUT VERIFY
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Contact information
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