AV
Arman S. Vafi
PLANMEMBER SECURITIES
Agoura Hills, CA 91301
Some features on this profile are disabled
CRD#: 2985581
AV
Professional summary
Arman Sepehr Vafi, who also goes by Sepehr Vafi, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Agoura Hills, California.
Arman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Arman has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sepehr Vafi
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) Legacy Financial- 28720 Roadside Drive, Suite 315,Agoura Hills CA 91301 ; Investment related; Insurance & investments/securities sales & services; Agent (independent); Start date 5/05; 90 hrs/mnth & during trading. 2) Arman Vafi (self employed)-20643 Vercelli Way, Porter Ranch, CA 91326; Investment related; Insurance investments sales & svcs; Independent agent; Start date 5/05; 69 hrs/mnth; 40 hrs/mnth during trading. 3) Arman Vaji (self employed)-20040 Livorno Way, Porter Ranch, CA 91326; Noninvestment related; Rental Property; Property owner/landlord; Start date 8/12; 1 hr/mnth; 0 hrs/mnth during trading. 4)Pacific Summit Financial Inc.; 20643 Vercelli Way, Porter Ranch, CA 91326; start date 01/01/20; president; Corporation for tax purposes and for the receipt of insurance commissions; 69 hrs/mo; 40 hrs/mo during trading; NIR 5)Arman Vafi; 20643 Vercelli Way Porter Ranch CA 91326; Start date 7/7/2020; Real Estate Agent; selling real estate thru Vahe Abakians (Flat Fee Inc.); 15 hrs/mo; 1 hr/mo during trading; NIR
CRS (Client Relationship Summary) - RIA
Click below to view Arman Sepehr Vafi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arman Sepehr Vafi'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
August 14, 2020 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 28720 Roadside Drive, Suite 315, Agoura Hills, CA 91301RIA
BD
CRD#: 11869
Agoura Hills, CA
Current
February 4, 2020 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 28720 Roadside Drive, Suite 315, Agoura Hills, CA 91301RIA
BD
CRD#: 11869
Agoura Hills, CA
Past
March 11, 1998 - January 26, 1999
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
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
California(2/26/2020)
IAR
California(8/14/2020)
RR
Idaho(4/25/2023)
RR
Kentucky(9/5/2024)
RR
Oregon(9/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 2/4/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
