MA
Martin W. Adams
PLANMEMBER SECURITIES
Birmingham, AL 35235
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CRD#: 2703719
MA
Professional summary
Martin Wayne Adams, who also goes by Marty Adams, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Birmingham, Alabama.
Martin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Martin has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marty Adams
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) INNOVATIVE FINANCIAL SOLUTIONS INC-1976 GADSDEN HWY, STE 236, BIRMINGHAM, AL 35235; INVESTMENT RELATED; FINANCIAL/INVESTMENT, INSURANCE SALES & SVCS; OWNER; START DATE 6/14; 160 HRS/MNTH & DURING TRADING. 2) MARTY ADAMS (SELF EMPLOYED)-1976 GADSDEN HWY, STE 236, BIRMINGHAM, AL 35235; INVESTMENT RELATED; INSURANCE SALES & SVCS, START DATE 2/11; 20 HRS/MNTH; 10 HRS/MNTH DURING TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Martin Wayne Adams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Martin Wayne Adams'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
June 30, 2014 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 1976 Gadsden Hwy, Suite 236-244, Birmingham, AL 35235Office #2: 115 Us Highway 31 South, Athens, AL 35611RIA
BD
CRD#: 11869
Birmingham, AL
Current
June 30, 2014 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 1976 Gadsden Hwy, Suite 236-244, Birmingham, AL 35235Office #2: 115 Us Highway 31 South, Athens, AL 35611RIA
BD
CRD#: 11869
Birmingham, AL
Past
October 31, 2008 - June 30, 2014
OSAIC SERVICES, INC.
RIA
CRD#: 133763
BIRMINGHAM, AL
Past
October 31, 2008 - June 30, 2014
OSAIC SERVICES, INC.
BD
CRD#: 133763
BIRMINGHAM, AL
Past
October 13, 2005 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
MONTGOMERY, AL
Past
September 9, 2005 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
MONTGOMERY, AL
Past
September 5, 2002 - April 1, 2005
PAN-AMERICAN INVESTMENT ADVISERS, INC.
RIA
CRD#: 111107
MONTGOMERY, AL
Past
May 17, 2002 - September 1, 2005
PAN-AMERICAN FINANCIAL ADVISERS
BD
CRD#: 15578
NEW ORLEANS, LA
Past
April 6, 1999 - May 28, 2002
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
MONTGOMERY, AL
Past
May 21, 1996 - May 28, 2002
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
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(6/30/2014)
IAR
Alabama(6/30/2014)
RR
Arizona(5/14/2021)
RR
Arkansas(3/7/2023)
RR
California(12/1/2023)
RR
Florida(6/30/2014)
RR
Georgia(6/30/2014)
RR
Louisiana(7/9/2019)
RR
Maryland(7/18/2018)
RR
Michigan(12/1/2023)
RR
Mississippi(6/30/2014)
RR
North Carolina(9/16/2019)
RR
Ohio(12/2/2023)
RR
South Carolina(1/4/2021)
RR
Tennessee(6/30/2014)
RR
Texas(10/8/2018)
RR
Utah(1/4/2021)
RR
Virginia(6/30/2014)
RR
Washington(6/30/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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#: 11869Birmingham, AL 35235TRUST BUT VERIFY
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