JA
John W. Au
PLANMEMBER SECURITIES
Mililani, HI 96789-3393
Some features on this profile are disabled
CRD#: 3018425
JA
Professional summary
John Wah Hin Au, who also goes by John Wh Au, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Mililani, Hawaii.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. John has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Wh Au
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; CONSULTANT; START DATE 12/97; HRS/MNTH; HRS/MNTH DURING TRADING; IR. 2 Shoebox for the Homeless/Organizer/Volunteer/Kaneohe Community Family Center 46-155 Kamehameha Hwy, Kaneohe, HI 96744(808) 235-7747/ Non-Investment related/ 1hr month trading 3)National Benefit Services; PO Box 6980 West Jordan UT 84084; NBS Certified Educator; present financial education presentations; start date 4/9/2019; 2 hr/mo; 2 hrs/mo during trading; NIR
CRS (Client Relationship Summary) - RIA
Click below to view John Wah Hin Au's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Wah Hin Au'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
July 1, 2011 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 95-119 Kamehameha Hwy, Suite A, Mililani, HI 96789-3393RIA
BD
CRD#: 11869
Mililani, HI
Current
July 1, 2011 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 95-119 Kamehameha Hwy, Suite A, Mililani, HI 96789-3393RIA
BD
CRD#: 11869
Mililani, HI
Past
September 27, 2004 - June 30, 2011
SIGNATOR FINANCIAL SERVICES, INC.
RIA
CRD#: 19061
MILILANI, HI
Past
November 30, 2001 - June 30, 2011
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
MILILANI, HI
Past
February 29, 2000 - December 3, 2001
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
CARPINTERIA, CA
Past
April 2, 1998 - March 2, 2000
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
BOSTON, 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
Hawaii(7/1/2011)
IAR
Hawaii(7/1/2011)
RR
Oregon(1/14/2013)
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.
