CA
Christopher R. Avey
PLANMEMBER SECURITIES
East Wenatchee, WA 98802
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CRD#: 3160027
CA
Professional summary
Christopher Riley Avey, who also goes by Chris Avey, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in East Wenatchee, Washington and CS PLANNING CORP located in East Wenatchee, Washington.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Christopher has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Avey
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) Planmember Securities Corporation, Investment-Related; Investment Advisor Representative and Registered Representative (Start 5/2018), ?nancial advisory and investments; 80 hours per month/80 hours during trading. 2) Financial Alternatives - 667 Grant Road, Suite 1 , East Wenatchee, WA 98802; Investment related; Securities and insurance sales and services; Representative; Start date 5/2018; 80 hours per month/80 hours during trading. 3) Medigap Plans of Pacific NW, LLC - 936 Plum St., Wenatchee, WA 98801; not investment related; Owner; offering Part D prescription plans; 2 hours per month, 2 hours during trading; since June 2019. 4) CS Planning Corp DBA Financial Alternatives; IAR WITH CS PLANNING; 667 Grant Road, Suite 1, East Wenatchee WA 98802; Start Date: 03/2023; Investment Advisor Representative (IAR); Provide investment/retirement planning and advisory products as an IAR through CS Planning; 160 hrs/mo; 80 hrs/mo during trading; IR
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Riley Avey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Riley Avey'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
May 31, 2018 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 667 Grant Road, Suite 1, East Wenatchee, WA 98802RIA
BD
CRD#: 11869
East Wenatchee, WA
Current
March 21, 2023 - Present
CS PLANNING CORP
Office #1: 667 Grant Road, Suite 1, East Wenatchee, WA 98802RIA
CRD#: 149937
East Wenatchee, WA
Current
May 16, 2018 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 667 Grant Road, Suite 1, East Wenatchee, WA 98802RIA
BD
CRD#: 11869
East Wenatchee, WA
Past
June 10, 2014 - April 26, 2018
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SPOKANE, WA
Past
June 10, 2014 - April 26, 2018
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
SPOKANE, WA
Past
January 21, 2014 - June 6, 2014
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SPOKANE, WA
Past
January 4, 2012 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
SPOKANE, WA
Past
January 3, 2012 - June 6, 2014
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
SPOKANE, WA
Past
October 6, 2010 - December 31, 2011
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
WALLA WALLA, WA
Past
October 6, 2010 - December 31, 2011
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
WALLA WALLA, WA
Past
July 26, 2004 - October 13, 2010
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
WALLA WALLA, WA
Past
July 19, 2004 - October 13, 2010
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
WALLA WALLA, WA
Past
February 11, 2003 - July 8, 2004
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
July 6, 2001 - February 14, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SEATTLE, WA
Past
December 12, 2000 - February 14, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 1, 1999 - January 2, 2001
EDWARD JONES
BD
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".
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
Idaho(7/31/2018)
RR
Washington(5/31/2018)
IAR
Washington(5/31/2018)
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.
