MS
Michael S. Stephenson
PLANMEMBER SECURITIES
Naples, FL 34103
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CRD#: 2727339
MS
Professional summary
Michael Scott Stephenson, who also goes by Michael Stepheson, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Naples, Florida.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Stepheson
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). MICHAEL STEPHENSON DBA- EDUCATORS RETIREMENT SPECIALIST, 1523 NW 29 PL CAPE CORAL, FL 33993 ; START 6/2002; INSURANCE AGENT; 20HRS/MO; 15HRS/TRADING. IR (2) MICHAEL STEPHENSON PHOTOGRAPHY: 1523 NW 29 PL CAPE CORAL, FL 33993 START DATE 1/2012; SELLILNG PHOTOGRAPHS AT ART AND CRAFT SHOWS; HRS/MTH: 14 HRS/MTH DURING TRADING HRS:10 NIR; (3) BENCOR RETIREMENT CONSULTANTS (AKA) BENCOR / Daybright Financial; 4575 Via Royale, Suite 205 Fort Myers, FL 33919 START DATE: 7/1/2012;FL DROP PROGRAM; AGENT; LIFE INSURANCE AND FIXED ANNUITIES; APPROX. NUM OF HRS/MTH 20;APPROX. NUM OF HRS DURING TRADING HRS:20 IR 4)FRS PARTNERS; 4575 Via Royale, Suite 205 Fort Myers, FL 33919; INVESTMENT RELATED;START DATE: 7/2/2014;RETIREMENT PLANNING;FIXED INDEX ANNUITIES ARE OFFERED; NUMBER OF HOURS/MONTH DEVOTED TO THIS BUSINESS:10 ;NUMBER OF HOURS/MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS:10 5) U S EMPLOYEE BENEFITS SERVICE GROUP, LLC; 4575 Via Royale, Suite 205 Fort Myers, FL 33919; START DATE: 1/1/2015; AGENT; NATURE OF BUSINESS: UMBRELLA COMPANY FOR USRP BENEFITS GROUP - INSURANCE, BENEFITS ADMINISTRATION AND INVESTMENTS; IR; APPROX. NO HRS. /MOS. DEVOTED TO THIS BUS: 0; APPROX. NO HRS. /MOS. DEVOTED TO THIS BUS DURING TRADING HRS.:0
CRS (Client Relationship Summary) - RIA
Click below to view Michael Scott Stephenson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Scott Stephenson'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
July 8, 2020 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 5051 Castello Square, #248, Naples, FL 34103Office #2: 4575 Via Royale, Suite 205, Fort Myers, FL 33919RIA
BD
CRD#: 11869
Naples, FL
Current
April 10, 2008 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 5051 Castello Square, #248, Naples, FL 34103Office #2: 4575 Via Royale, Suite 205, Fort Myers, FL 33919RIA
BD
CRD#: 11869
Naples, FL
Past
December 17, 2003 - April 11, 2008
KOVACK SECURITIES INC.
BD
CRD#: 44848
CAPE CORAL, FL
Past
March 9, 2000 - December 17, 2003
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
Past
April 9, 1996 - March 10, 2000
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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
Florida(4/10/2008)
IAR
Florida(7/8/2020)
RR
Georgia(1/14/2011)
RR
Maryland(12/13/2022)
RR
North Carolina(1/13/2014)
RR
Ohio(11/19/2024)
RR
South Carolina(12/14/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
