JG
James C. Gates
PLANMEMBER SECURITIES
San Diego, CA 92131
Some features on this profile are disabled
CRD#: 2858866
JG
Professional summary
James Christian Gates, who also goes by Jim Gates, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in San Diego, California and SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE located in San Diego, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. James has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Gates
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)Gates Financial Services, Inc.; 10085 Carroll Canyon Road Suite 150, San Diego CA 92131; Start Date 8/31/2017; Agent/Owner; Insurance and securities sales and service and tax preparation; 40 hrs/mo; 40 hrs/mo during trading; IR 2) BSA Financial Network and Insurance Services Inc. DBA Superior Planning Financial Solution (fka CALPRO Network Financial Services); 10085 Carroll Canyon Road Suite 150, San Diego CA 92131; start date 5/2017; Financial Advisor; Securities and Insurance Sales and Service; 65 hrs/mo; 40 hrs/mo during trading; IR 3) 10085 CARROL CANYON LLC; 10085 Carroll Canyon rd 150, San Diego CA 92131; Start date 5/25/2023; Owner/Member; holding company for commercial real estate including the building at 10085 Carroll Canyon in San Diego CA; 0 hrs/mo; 0 hrs/mo during trading; NIR 4) BGLS HOLDINGS LLC; 10085 Carroll Canyon Rd, San Diego CA 92131; Start date 5/15/24; Owner/Member; holding company for interest in 10085 Carroll Canyon LLC; 0 hrs/mo; 0 hrs/mo during trading; NIR 5) SUPERIOR PLANNING, LLC dba Superior Planning Wealth Management & Family Office (SPWMFO); 10085 Carroll Canyon Rd 150, San Diego CA 92131; Start Date 9/1/2024; Investment Advisor Representative; Registered Investment Advisory Firm; 40 hrs/mo; 40 hrs/mo during trading; IR
CRS (Client Relationship Summary) - RIA
Click below to view James Christian Gates's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Christian Gates'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 26, 2008 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 10085 Carroll Canyon Road, Suite 150, San Diego, CA 92131RIA
BD
CRD#: 11869
San Diego, CA
Current
September 20, 2024 - Present
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE
Office #1: 10085 Carroll Canyon Road Suite 150, San Diego, CA 92131RIA
CRD#: 130711
SAN DIEGO, CA
Current
September 26, 2008 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 10085 Carroll Canyon Road, Suite 150, San Diego, CA 92131RIA
BD
CRD#: 11869
San Diego, CA
Past
February 1, 2007 - September 26, 2008
OSAIC WEALTH, INC.
BD
CRD#: 23131
SAN DIEGO, CA
Past
May 10, 2005 - January 31, 2007
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
SAN DIEGO, CA
Past
May 4, 2005 - January 31, 2007
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
SAN DIEGO, CA
Past
January 15, 2002 - May 10, 2005
LINCOLN INVESTMENT
RIA
CRD#: 519
LAS VEGAS, NV
Past
February 15, 2000 - May 10, 2005
LINCOLN INVESTMENT
BD
CRD#: 519
FORT WASHINGTON, PA
Past
February 10, 1998 - January 28, 2000
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
February 10, 1998 - January 28, 2000
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
August 12, 1997 - November 24, 1997
PIM FINANCIAL SERVICES, INC.
BD
CRD#: 10547
SAN MARCOS, 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
Arizona(9/26/2008)
RR
California(9/26/2008)
IAR
California(9/26/2008)
RR
Colorado(11/30/2023)
RR
Connecticut(1/14/2010)
RR
Florida(1/14/2010)
RR
Georgia(11/30/2023)
RR
Illinois(1/4/2017)
RR
Iowa(1/14/2010)
RR
Kansas(11/30/2023)
RR
Michigan(9/19/2023)
RR
Montana(3/28/2016)
RR
Nevada(9/26/2008)
RR
North Carolina(10/25/2019)
RR
Oregon(11/7/2024)
RR
Pennsylvania(10/23/2019)
RR
South Carolina(11/7/2024)
RR
Tennessee(2/7/2024)
RR
Texas(10/22/2019)
RR
Utah(7/22/2024)
RR
Washington(10/22/2019)
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.
