AM
Albert J. Munoz
PLANMEMBER SECURITIES
Redlands, CA 92374
Some features on this profile are disabled
CRD#: 2928237
AM
Professional summary
Albert Jay Munoz, who also goes by A Jay Munoz, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Redlands, California.
Albert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Albert has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
A Jay Munoz
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)INDEPENDENT INSURANCE AGENT; START 1997.;104 EAST STATE STREET #G, Redlands CA 92373; 2) HIGHMARK ADMINISTRATION AND CONSULTING; ADMINISTRATION AND CONSULTING FOR SCHOOL DISTRICT RETIREMENT PLANS; 34188 Pacific Coast Highway,Ste D, Dana Point CA 92629 START 08/11; 1 HRS/MO; 0 HRS/MO IR;DURING TRADING HOURS; $5K-$10K/YR; SOLICITING POTENTIAL EMPLOYERS TO ENTER INTO CONTRACTS; IR. 3)RENTAL PROPERTY:2174 CHAPARREL LANE, MENTONE, CA 9235;START DATE: 9/1/2006;SOLE PROPRIETOR;NUM OF HRS/MTH DEVOTED TO THIS BUS:4; NUM OF HRS/MTH DEVOTED TO THIS BUS. DURING TRADING HOURS:0 ;IR 4)AJM Financial Inc.; 104 East State Street Suite G Redlands CA 92373; start date 2/7/20; owner/officer; banking only entity to capture tax advantages of a corporate structure; 1 hr/mo; 0 hrs/mo during trading; NIR 5) The Grove School; 200 Nevada St, Redlands CA 92373; START DATE: 04/15/2021; Director/Treasurer; Board Member and, as Treasurer, also have additional duties including chairing the finance committee and monitoring school finances, property, and the budget; 4 hrs/mo; 0 hrs/mo during trading; NIR
CRS (Client Relationship Summary) - RIA
Click below to view Albert Jay Munoz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Albert Jay Munoz'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
January 9, 2003 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 301 9th Street, Suite 102, Redlands, CA 92374Office #2: 255 E Rincon St., Ste 221, Corona, CA 92879RIA
BD
CRD#: 11869
Redlands, CA
Current
January 9, 2003 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 301 9th Street, Suite 102, Redlands, CA 92374Office #2: 255 E Rincon St., Ste 221, Corona, CA 92879RIA
BD
CRD#: 11869
Redlands, CA
Past
August 31, 2001 - December 31, 2002
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
SAN BERNARDINO, CA
Past
March 3, 2000 - December 31, 2002
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
October 8, 1997 - March 8, 2000
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
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(11/10/2023)
RR
Arkansas(11/6/2024)
RR
California(1/9/2003)
IAR
California(1/9/2003)
RR
Colorado(11/10/2023)
RR
Delaware(11/6/2024)
RR
Florida(11/10/2023)
RR
Idaho(11/10/2023)
RR
Illinois(11/10/2023)
RR
Indiana(11/10/2023)
RR
Mississippi(11/10/2023)
RR
Nevada(1/10/2007)
RR
New York(11/6/2024)
RR
Oregon(11/17/2017)
RR
Tennessee(6/21/2019)
RR
Texas(11/19/2018)
RR
Utah(11/10/2023)
RR
Virginia(11/10/2023)
RR
Washington(8/12/2015)
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)
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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#: 11869Redlands, CA 92374TRUST BUT VERIFY
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