GG
Gregory J. Garbeff
PLANMEMBER SECURITIES
Kansas City, MO 64111
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CRD#: 3067746
GG
Professional summary
Gregory Joseph Garbeff, who also goes by Greg J Garbeff, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Kansas City, Missouri.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Gregory has worked at 8 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 6, Series 28 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Greg J Garbeff
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) Forrest T. Jones & Co., Inc. dba FTJ Retirement Advisors-3130 Broadway, Kansas City, MO 64111; Investment related; Securities, Insurance, and Retirement Planning Sales & Services; Agent & Business Development Manager; Start date 3/17; 200 hrs/mnth (140 hrs/mnth-Business Development Mgr, 60 hrs/mnth-Agent); 160 hrs/mnth during trading. 2) Fidelity Security Life Insurance Co.-3130 Broadway, Kansas City, MO 64111; Investment related; Insurance product sales & services (fixed annuities); Agent; Start date 7/18; 1 hrs/mnth; Less than 1 hrs/mnth during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Joseph Garbeff's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory Joseph Garbeff'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
February 4, 2020 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 3130 Broadway, Kansas City, MO 64111RIA
BD
CRD#: 11869
Kansas City, MO
Current
December 3, 2019 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 3130 Broadway, Kansas City, MO 64111RIA
BD
CRD#: 11869
Kansas City, MO
Past
May 7, 2018 - November 1, 2018
NATIONAL PENSION & GROUP CONSULTANTS, INC
BD
CRD#: 613
KANSAS CITY, MO
Past
April 11, 2017 - December 3, 2019
CREATIVEONE WEALTH, LLC
RIA
CRD#: 281213
KANSAS CITY, MO
Past
April 25, 2016 - March 1, 2017
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Topeka, KS
Past
April 5, 2016 - March 1, 2017
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Topeka, KS
Past
December 21, 2015 - January 7, 2016
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Overland Park, KS
Past
November 19, 2013 - November 23, 2015
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
OLATHE, KS
Past
March 5, 2013 - November 20, 2013
GRADIENT ADVISORS, LLC
RIA
CRD#: 152665
OLATHE, KS
Past
February 6, 2013 - March 26, 2013
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
OLATHE, KS
Past
June 19, 2001 - March 27, 2002
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
FOLSOM, CA
Past
June 30, 1998 - May 24, 2006
NATIONAL PENSION & GROUP CONSULTANTS, INC
BD
CRD#: 613
KANSAS CITY, 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".
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(6/24/2020)
RR
Arkansas(8/1/2022)
RR
Colorado(8/22/2022)
RR
Florida(4/23/2025)
RR
Illinois(8/30/2022)
RR
Iowa(6/10/2022)
RR
Kansas(2/4/2020)
IAR
Kansas(2/4/2020)
RR
Kentucky(9/12/2024)
RR
Missouri(1/2/2020)
RR
Nebraska(6/10/2022)
RR
Oklahoma(3/27/2024)
RR
Texas(3/12/2020)
IAR
Texas(6/22/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 5/7/2018
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory 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#: 11869Kansas City, MO 64111TRUST BUT VERIFY
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