AL
Anthony Lafranca
PLANMEMBER SECURITIES
Irvington, NY 10533
Some features on this profile are disabled
CRD#: 3242522
AL
Professional summary
Anthony Lafranca, who also goes by Anthony E Lafranca, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Irvington, New York.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Anthony has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony E Lafranca
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Lafranca's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony Lafranca'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
July 26, 2021 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: One Bridge Street, Suite 70, Irvington, NY 10533RIA
BD
CRD#: 11869
Irvington, NY
Current
December 1, 2010 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: One Bridge Street, Suite 70, Irvington, NY 10533RIA
BD
CRD#: 11869
Irvington, NY
Past
June 4, 2007 - January 24, 2011
SCARBOROUGH SECURITIES CORPORATION
BD
CRD#: 44858
IRVINGTON, NY
Past
January 11, 2006 - April 27, 2007
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
July 22, 2005 - November 18, 2005
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
WHITE PLAINS, NY
Past
March 19, 2004 - November 18, 2005
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
September 22, 2000 - March 9, 2004
WALL STREET ACCESS
BD
CRD#: 10012
NEW YORK, NY
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
Alabama(1/31/2013)
RR
Alaska(1/31/2013)
RR
Arizona(1/31/2013)
RR
Arkansas(1/31/2013)
RR
California(1/31/2013)
RR
Colorado(1/31/2013)
RR
Connecticut(1/31/2013)
RR
Delaware(1/31/2013)
RR
District of Columbia(1/31/2013)
RR
Florida(1/31/2013)
RR
Georgia(1/31/2013)
RR
Hawaii(1/31/2013)
RR
Idaho(1/31/2013)
RR
Illinois(1/31/2013)
RR
Indiana(1/31/2013)
RR
Iowa(1/31/2013)
RR
Kansas(1/31/2013)
RR
Kentucky(1/31/2013)
RR
Louisiana(1/31/2013)
RR
Maine(1/31/2013)
RR
Maryland(1/31/2013)
RR
Massachusetts(1/31/2013)
RR
Michigan(1/31/2013)
RR
Minnesota(1/31/2013)
RR
Mississippi(1/31/2013)
RR
Missouri(1/31/2013)
RR
Montana(1/31/2013)
RR
Nebraska(1/31/2013)
RR
Nevada(1/31/2013)
RR
New Hampshire(1/31/2013)
RR
New Jersey(1/31/2013)
RR
New Mexico(1/31/2013)
RR
New York(12/1/2010)
IAR
New York(7/26/2021)
RR
North Carolina(1/31/2013)
RR
North Dakota(1/31/2013)
RR
Ohio(1/31/2013)
RR
Oklahoma(1/31/2013)
RR
Oregon(1/31/2013)
RR
Pennsylvania(1/31/2013)
RR
Rhode Island(1/31/2013)
RR
South Carolina(1/31/2013)
RR
South Dakota(1/31/2013)
RR
Tennessee(1/31/2013)
RR
Texas(1/31/2013)
RR
Utah(1/31/2013)
RR
Vermont(1/31/2013)
RR
Virginia(1/31/2013)
RR
Washington(1/31/2013)
RR
West Virginia(1/31/2013)
RR
Wisconsin(1/31/2013)
RR
Wyoming(1/31/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/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.
