RM
Reed S. Montgomery
PLANMEMBER SECURITIES
Victorville, CA 92392
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CRD#: 3266214
RM
Professional summary
Reed Spencer Montgomery is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Victorville, California.
Reed is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Reed has worked at 6 firms and has passed the Series 63, SIE 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) MONTGOMERY FINANCIAL AND INSURANCE SERVICES;15428 Civic Drive, Suite 200, Victorville CA 92392; INSURANCE SERVICES. ;OWNER ; START DATE; 2000;;SALES OF SECURITIES, LIFE INSURANCE, HEALTH INSURANCE, AND ANNUITIES. 40 NUM OF HRS/MTH TO THIS BUS:.40 NUM OF HRS/MTH TO THIS BUS DURING TRADING HOURS: ;INVESTMENT RELATED" 2)EVERBANK;22365 BARTON ROAD, SUITE 113 GRAND TERRACE CA 92313 - START DATE 11/1/2011; ;BANKING PRODUCTS;1HRS/MONTH DEVOTED TO BUSINESS; 1 NUM OF HRS/MTH TO THIS BUS:.1 NUM OF HRS/MTH TO THIS BUS DURING TRADING HRS;INVESTMENT RELATED3)CAPITAL LOAN AND ASSOCIATES; 22365 BARTON ROAD, SUITE 113 GRAND TERRACE CA 92313 ;START DATE 5/2/2012; MORTGAGE BROKER OFFERING HOME AFFORDABLE REFINANCE PROGRAM (HARP). NUM OF HRS/MTH TO THIS BUS:.2NUM OF HRS/MTH TO THIS BUS DURING TRADING HOURS:2 ;INVESTMENT RELATED 4)CATAXTEAM;22365 BARTON ROAD, SUITE 113 GRAND TERRACE CA 92313 START DATE: 2/25/2013; INVESTMENT RELATED;TAX PREPARATION;PROPRIETOR/TAX SERVICES; NUM OF HRS/MTH TO THIS BUS:10 NUMOF HRS/MTH BUS DURING TRADING HRS: 5) HIGHMARK ADMINISTRATION AND CONSULTING;34188 PCH, STE D DANA POINT CA 92629;4/23/2014;CONSULTANT/RETIREMENT PLAN ADMINISTRATION; NOTINVESTMENT RELATED; NUM OF HRS/MTH TO THIS BUS:2 ;NUM OF HRS/MTH TO BUS DURING TRADING HRS:2 6) Reed Montgomery; POB 2391, Lake Arrowhead CA 92352, United States; START DATE: 06/14/2022 Owner; NATURE: Renting my time shares either myself or by use of Redweek; NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0; NIR
CRS (Client Relationship Summary) - RIA
Click below to view Reed Spencer Montgomery's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Reed Spencer Montgomery'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 25, 2008 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 15428 Civic Drive, Suite 200, Victorville, CA 92392RIA
BD
CRD#: 11869
Victorville, CA
Current
April 21, 2008 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 15428 Civic Drive, Suite 200, Victorville, CA 92392RIA
BD
CRD#: 11869
Victorville, CA
Past
January 3, 2007 - April 18, 2008
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
REDLANDS, CA
Past
March 9, 2006 - January 8, 2007
NYLIFE SECURITIES LLC
BD
CRD#: 5167
REDLANDS, CA
Past
April 22, 2002 - February 17, 2006
VERITRUST FINANCIAL, LLC
BD
CRD#: 106594
AUSTIN, TX
Past
January 7, 2002 - April 22, 2002
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
October 13, 2000 - December 31, 2001
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past
September 28, 1999 - September 29, 2000
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, 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
Arizona(9/2/2021)
RR
California(4/21/2008)
IAR
California(7/25/2008)
RR
Nevada(9/2/2021)
RR
North Carolina(8/12/2025)
RR
Oregon(4/15/2024)
RR
Texas(9/10/2012)
RR
Virginia(7/22/2024)
RR
Washington(9/2/2021)
Exams
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.
Company Information
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869Victorville, CA 92392TRUST BUT VERIFY
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