GT
Geoffrey A. Treat
PLANMEMBER SECURITIES
Plano, TX 75093
Some features on this profile are disabled
CRD#: 2900912
GT
Professional summary
Geoffrey Allen Treat, who also goes by Geoff Treat, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Plano, Texas.
Geoffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Geoffrey has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Geoff Treat
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) TEAM FINANCIAL NETWORK,TEACHERS FINANCIAL SERVICES, INC.-2301 Ohio Drive, Suite 269 , Plano TX 75093; INVESTMENT RELATED; FINANCIAL & INSURANCE SALES & SVCS; PRESIDENT/OWNER/AGENT; START DATE 11/2006; 160+ HRS/MNTH & DURING TRADING; APPROX. NO OF HRS/MOS DEVOTED TO THIS BUS:160 2) OPERATION SURF, PO BOX 1581, SAN LUIS OBISPO, CA; NONINVESTMENT RELATED; NONPROFIT ORGANIZATION FOR VETERAN'S REHAB; VOLUNTEER; START DATE 2007; 5 HRS/MNTH & DURING TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Geoffrey Allen Treat's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Geoffrey Allen Treat'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
December 5, 2013 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2301 Ohio Drive, Suite 269, Plano, TX 75093RIA
BD
CRD#: 11869
Plano, TX
Current
November 13, 2013 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2301 Ohio Drive, Suite 269, Plano, TX 75093RIA
BD
CRD#: 11869
Plano, TX
Past
October 17, 2006 - December 11, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
MORRO BAY, CA
Past
June 22, 2006 - December 31, 2006
CAMBRIDGE RETIREMENT ADVISORS
RIA
CRD#: 129096
GROVER BEACH, CA
Past
March 17, 2006 - December 11, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
MORRO BAY, CA
Past
June 30, 2004 - March 30, 2006
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
LOS OSOS, CA
Past
August 21, 1998 - March 30, 2006
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
GROVER BEACH, CA
Past
July 2, 1997 - August 25, 1998
LINCOLN INVESTMENT
BD
CRD#: 519
FORT WASHINGTON, PA
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(9/29/2015)
RR
California(11/13/2013)
IAR
California(12/5/2013)
RR
Colorado(9/23/2025)
RR
District of Columbia(9/23/2025)
RR
Florida(10/20/2020)
RR
Michigan(9/23/2025)
RR
Montana(9/23/2025)
RR
Nevada(11/22/2013)
RR
New Mexico(10/20/2020)
RR
North Carolina(2/22/2021)
RR
Texas(12/3/2013)
IAR
Texas(11/5/2025)
RR
Utah(11/12/2015)
RR
Virginia(7/12/2024)
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.
Company Information
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869Plano, TX 75093TRUST BUT VERIFY
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Contact information
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