RB
Richard E. Bentel
PLANMEMBER SECURITIES
Naperville, IL 60563
Some features on this profile are disabled
CRD#: 2659749
RB
Professional summary
Richard Edward Bentel JR, who also goes by Rich Bentel, Richard Edward Bentel, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Naperville, Illinois.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rich Bentel | Richard Edward Bentel
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. RICHARD BENTEL, SELF EMPLOYED-400 E. Diehl Road, Suite 250, Naperville, IL 60563; INVESTMENT RELATED; FINANCIAL & INSURANCE SALES & SVCS.; INSURANCE AGENT; START DATE 11/95; 4 HRS/MNTH & DURING TRADING. 2. VERITRUST WEALTH MANAGEMENT (NAME OF BRANCH FOR BRANDING & MARKETING PURPOSES)- 400 E. Diehl Road, Suite 250, Naperville, IL 60563; INVESTMENT RELATED; FINANCIAL & INSURANCE SALES & SVCS., REPRESENTATIVE; START DATE 10/13; 160 HRS/MNTH & DURING TRADING. 3. DOMINO'S PIZZA-DOUGLAS RD., OSWEGO, IL; NON-INVESTMENT RELATED; PIZZA DELIVERY PERSON; START DATE 6/10; 40 HRS/MNTH; 0 HRS/MNTH DURING TRADING.4)HR BLOCK;3344 S. ROUTE 59 #116 NAPERVILLE IL 60564;1/1/2014;TAX PREPARATION/EMPLOYEE;NOT INVESTMENT RELATED. NUM OF HRS/MTH BUS:48 ;NUM OF HRS/MTH BUS TRADING HRS:16 5)Richard Bentel; 5) Richard Bentel; 1827 Indian Hill Lane, Aurora IL 60503; Start date 1/1/2022; Tax Preparer; Tax Preparation; 6 hrs/mo; 0 hrs/mo during trading; NIR
CRS (Client Relationship Summary) - RIA
Click below to view Richard Edward Bentel JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Edward Bentel JR'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 7, 2013 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 400 E. Diehl Road Suite 250, Naperville, IL 60563RIA
BD
CRD#: 11869
Naperville, IL
Current
October 7, 2013 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 400 E. Diehl Road Suite 250, Naperville, IL 60563RIA
BD
CRD#: 11869
Naperville, IL
Past
February 26, 2010 - October 7, 2013
VERITRUST FINANCIAL, LLC
RIA
CRD#: 106594
LISLE, IL
Past
February 26, 2010 - October 7, 2013
VERITRUST FINANCIAL, LLC
BD
CRD#: 106594
LISLE, IL
Past
January 23, 1998 - February 8, 2010
WADDELL & REED
RIA
CRD#: 866
OAKBROOK, IL
Past
November 9, 1995 - February 8, 2010
WADDELL & REED
BD
CRD#: 866
OAKBROOK, IL
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
Arkansas(10/7/2013)
RR
Illinois(10/7/2013)
IAR
Illinois(10/7/2013)
RR
Minnesota(10/7/2013)
RR
North Carolina(7/25/2016)
RR
Texas(11/16/2017)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
