Cinthia F. Marshall

PLANMEMBER SECURITIES

Franklin, TN

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CRD#: 3066812

Professional summary

Cinthia Faye Marshall, who also goes by Cindy Faye Collins, Cinthia Faye Collins, Cindy Faye Marshall, Cinthia Marshall, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Franklin, Tennessee.

Cinthia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Cinthia has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cindy Faye Collins | Cinthia Faye Collins | Cindy Faye Marshall | Cinthia Marshall

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)Cinthia Marshall; 2030 McAvoy Franklin TN 37064; start date 1/1/2015; agent; life insurance; 15 hrs/mo; 5 hrs/mo during trading; IR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cinthia Faye Marshall's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Cinthia Faye Marshall's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 1, 2009 - Present

PLANMEMBER SECURITIES CORPORATION

Office #2: 10085 Carroll Canyon Road, Suite 150, San Diego, CA 92131

RIA

CRD#: 11869

Franklin, TN

Current

July 1, 2009 - Present

PLANMEMBER SECURITIES CORPORATION

Office #2: 10085 Carroll Canyon Road, Suite 150, San Diego, CA 92131

RIA

CRD#: 11869

Franklin, TN

Past

January 2, 2009 - July 1, 2009

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

LAS VEGAS, NV

Past

December 17, 2004 - January 5, 2009

LEGEND ADVISORY, LLC

RIA

CRD#: 104761

ENCINITAS, CA

Past

December 7, 2004 - January 5, 2009

LEGEND EQUITIES CORPORATION

CRD#: 30999

PALM BEACH GARDENS, FL

Past

April 2, 2002 - December 16, 2004

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

December 7, 2000 - November 28, 2001

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN DIEGO, CA

Past

October 22, 1999 - January 24, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Past

October 22, 1999 - January 24, 2001

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

August 21, 1998 - April 16, 1999

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

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)

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.

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

California
(7/1/2009)

Nevada
(7/1/2009)

Tennessee
(5/6/2020)

IAR

Tennessee
(12/10/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/15/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/21/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PLANMEMBER WRAP FEE PROGRAM ELITE STRATEGIST DECEMBER 2024 (3/31/2025)

PLANMEMBER SCARBOROUGH BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER OPTIFUND BROCHURE 2023 MARCH (3/31/2025)

PLANMEMBER NON-PLATFORM IRA BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER SCHWAB IAR PROGRAM FEBRUARY 2025 (3/31/2025)

PLANMEMBER RETIREMENT INVESTMENT BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER Q8P IAR PROGRAM 2023 MARCH (3/31/2025)

PLANMEMBER WRAP FEE PROGRAM INVESTMENT SAVINGS PLUS (3/31/2025)

PLANMEMBER PREFERENCE AND IAR BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER WORKPLACE ADVISORY PROGRAM 2023 MARCH (3/31/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/21/2022	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Cinthia F. Marshall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cinthia Faye Marshall's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Cinthia Faye Marshall's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLANMEMBER SECURITIES CORPORATION

CHICAGO INVESTMENT GROUP, LLC

LEGEND ADVISORY, LLC

LEGEND EQUITIES CORPORATION

NEXT FINANCIAL GROUP, INC.

CUSO FINANCIAL SERVICES, L.P.

THE VARIABLE ANNUITY MARKETING COMPANY

VALIC FINANCIAL ADVISORS, INC.

EDWARD JONES

Primary Firm SEC Registration

PLANMEMBER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 11/15/2012

Series 63

Date: 8/21/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/19/1998

FINRA

Current Firm

PLANMEMBER SECURITIES CORPORATION

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PLANMEMBER SECURITIES CORPORATION

TRUST BUT VERIFY

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