PS
Peter B. Sharpe
PLANMEMBER SECURITIES
Carpinteria, CA 93013
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CRD#: 3146784
PS
Professional summary
Peter Brett Sharpe is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Carpinteria, California.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Peter has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 6 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) PERFORM WITH LOCAL BANDS; 1419 DE LA VINA ST., UNIT 7 SANTA BARBARA CA 93103 ;START 6/2006; CHARGE $0-120 A GIG;1419 DE LA VINA ST., UNIT 7 SANTA BARBARA CA 93103 12-16 HRS/MO; ZERO DURING TRADING HOURS; NIR.2) MDS DRUMS ;1419 DE LA VINA ST., UNIT 7 SANTA BARBARA CA 93103;RETAIL SALES; OWNER;START 01/2011; 30 HRS/MO; ZERO DURING TRADING;$20K/YEAR. NIR 3) SHARPE STILLWATER RETAIL, LLC; Los Angeles CA 90071; Start Date 7/16/2025; Co-Manager for Real Estate Holding; Managing the real estate holding; 1 hr/mo; 0 hrs/mo during trading; NIR 4) SHARPE VIA GRANADA, LLC; Los Angeles CA 90071; Start Date 7/16/2025; Co-Manager for Real Estate Holding; Managing the real estate holding; 1 hr/mo; 0 hrs/mo during trading; NIR 5) SHARPE DLV, LLC; Los Angeles CA 90071; Start Date 7/16/2025; Co-Manager for Real Estate Holding; Managing the real estate holding; 1 hr/mo; 0 hrs/mo during trading; NIR 6) SHARPE FAMILY TRUST, FORT COLLINS PROPERTY, LLC; Los Angeles CA 90071; Start Date 7/16/2025; Co-Manager for Real Estate Holding; Managing the real estate holding; 1 hr/mo; 0 hrs/mo during trading; NIR
CRS (Client Relationship Summary) - RIA
Click below to view Peter Brett Sharpe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Brett Sharpe'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
October 13, 2006 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 6187 Carpinteria Ave, Carpinteria, CA 93013RIA
BD
CRD#: 11869
Carpinteria, CA
Current
October 13, 2006 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 6187 Carpinteria Ave, Carpinteria, CA 93013RIA
BD
CRD#: 11869
Carpinteria, CA
Past
September 3, 2003 - October 19, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
SANTA BARBARA, CA
Past
September 3, 2003 - October 19, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
SANTA BARBARA, CA
Past
December 5, 2002 - September 9, 2003
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SANTA BARBARA, CA
Past
October 7, 2002 - September 9, 2003
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
May 10, 2000 - October 7, 2002
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
September 21, 1999 - May 10, 2000
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
December 1, 1998 - May 28, 1999
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
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(10/13/2006)
IAR
California(10/13/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 3/15/2023
Operations Professional ExaminationGeneral Industry/Product 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.
Company Information
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869Carpinteria, CA 93013TRUST BUT VERIFY
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