Richard I. Matoff
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Irving Matoff was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2019 - December 31, 2019
PLANMEMBER SECURITIES CORPORATION
June 10, 2019 - December 31, 2019
PLANMEMBER SECURITIES CORPORATION
February 28, 2012 - June 12, 2019
CETERA ADVISORS LLC
February 28, 2012 - June 12, 2019
CETERA ADVISORS LLC
June 20, 2008 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
June 16, 2008 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
July 19, 2006 - June 13, 2008
GENEOS WEALTH MANAGEMENT, INC.
July 19, 2006 - June 13, 2008
GENEOS WEALTH MANAGEMENT, INC.
April 10, 2000 - July 25, 2006
SECURITIES AMERICA ADVISORS, INC.
July 24, 1998 - July 25, 2006
SECURITIES AMERICA, INC.
March 7, 1995 - July 2, 1998
CETERA WEALTH SERVICES, LLC
July 22, 1994 - March 2, 1995
UNITED CALIFORNIA SECURITIES, INC.
November 26, 1990 - June 2, 1994
UNITED CALIFORNIA SECURITIES, INC.
May 24, 1989 - August 17, 1990
CITIGROUP GLOBAL MARKETS INC.
August 5, 1987 - March 11, 1989
SUTRO & CO. INCORPORATED
August 31, 1984 - June 17, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
February 8, 1984 - September 28, 1984
BECKER PARIBAS INCORPORATED
July 25, 1981 - January 18, 1984
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 9/15/1961
Registered Representative ExaminationCurrent Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
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.
