JM
James K. Michishima
PLANMEMBER SECURITIES
Pearl City, HI 96782
Some features on this profile are disabled
CRD#: 2999203
JM
Professional summary
James Kenji Michishima, CFP® is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Pearl City, Hawaii.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. James has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. CHINEN & ARINAGA FINANCIAL GROUP - 95-119 Kamehameha Hwy. Suite A, Mililani, HI 96789-3393; INVESTMENTS, FIXED & HEALTH INSURANCE PRODUCTS; FINANCIAL ADVISOR; START DATE 10/02; 5 HRS/MNTH; 5 HRS/MNTH DURING TRADING; IR.
2. SELF EMPLOYED CPA DBA JAMES K. MICHISHIMA CPA-98-1277 KAAHUMANU ST., #143 AIEA, HI 96701; CERTIFIED PUBLIC ACCOUNTING; OWNER; START DATE 1980; 120 HRS/MNTH; 120 HRS/MNTH DURING TRADING; NIR.
3. PAYROLL, LLC- 1277 KAAHUMANU ST., #143 AIEA, HI 96701;HI; PAYROLL PROCESSING FOR CPA BUSINESS; OWNER; START DATE 8/09; HRS/MNTH INCLUDED IN CPA BUSINESS; NIR.
4. LJTM, LLC- 98-1277 KAAHUMANU ST., #143AIEA, HI; RESIDENTIAL REAL ESTATE RENTALS; 50% MEMBER/OWNER; 1 HR/MNTH; 0 HRS/MNTH DURING TRADING; NIR.
5. UNIV. OF HAWAII-2500 CAMPUS ROAD ? HONOLULU, HI 96822 ; LECTURER-PART-TIME/ON CALL BASIS; START DATE 1991; 30 HRS/YRLY; 0 HRS DURING TRADING; NIR. 6. PACIFIC DOCUMENT IMAGING INC.- 98-1277 KAAHUMANU ST. #143 AIEA, HI; SALE OF TECHNOLOGY EQUIPMENT, SUPPLIES & SOFTWARE; VICE PRES; START DATE 6/02; 5 HRS/MNTH; 0 HRS/MNTH DURING TRADING; NIR.
CRS (Client Relationship Summary) - RIA
Click below to view James Kenji Michishima's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Kenji Michishima'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®
CFP®
Start date: 2003
Experience
Current
July 1, 2011 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 1245 Kuala Street, Suite 107, Pearl City, HI 96782RIA
BD
CRD#: 11869
Pearl City, HI
Current
July 1, 2011 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 1245 Kuala Street, Suite 107, Pearl City, HI 96782RIA
BD
CRD#: 11869
Pearl City, HI
Past
July 28, 2004 - June 30, 2011
SIGNATOR FINANCIAL SERVICES, INC.
RIA
CRD#: 19061
MILILANI, HI
Past
October 21, 2002 - June 30, 2011
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
MILILANI, HI
Past
July 30, 1998 - September 24, 2002
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
HOMOLULU, HI
Past
April 20, 1998 - September 24, 2002
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
April 20, 1998 - September 24, 2002
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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(11/24/2015)
RR
Hawaii(7/1/2011)
IAR
Hawaii(7/1/2011)
RR
Nevada(1/4/2012)
RR
Virginia(7/1/2011)
RR
Washington(11/8/2021)
Exams
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)
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.
