Marc T. O'brien

PLANMEMBER SECURITIES

Genoa, NV

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CRD#: 350478

Professional summary

Marc Thomas O'brien, who also goes by Marc Thomas Obrien, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Genoa, Nevada.

Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Marc has worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 1, Series 26, Series 24 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marc Thomas Obrien

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) Marc O'Brien (self employed) - 2515 Genoa Aspen Dr Genoa, NV 89411; Investment related; Insurance (life, disability, health, medicare supplemental, annuities) sales & services; Agent; Start date 1/2013; less than 1 hr/mnth; 0 hrs/mnth during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Thomas O'brien's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Marc Thomas O'brien's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 10, 2020 - Present

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Genoa, NV

Current

August 10, 2020 - Present

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Genoa, NV

Past

June 15, 2017 - August 7, 2020

LINCOLN INVESTMENT

RIA

CRD#: 519

GENOA, NV

Past

January 3, 2017 - August 7, 2020

LINCOLN INVESTMENT

CRD#: 519

GENOA, NV

Past

June 29, 2004 - October 4, 2019

LEGEND ADVISORY, LLC

RIA

CRD#: 104761

GENOA, NV

Past

January 1, 1994 - January 3, 2017

LEGEND EQUITIES CORPORATION

CRD#: 30999

GENOA, NV

Past

December 18, 1978 - January 1, 1994

LEGEND CAPITAL CORPORATION

CRD#: 4149

PALM BEACH GARDENS, FL

Past

June 14, 1976 - January 22, 1979

INTERPACIFIC INVESTORS SERVICES, INC.

CRD#: 4879

Past

October 11, 1974 - March 1, 1975

FREEMAN FINANCIAL SERVICES CORPORATION

CRD#: 6722

Past

September 26, 1974 - October 11, 1974

FREEMAN INC

CRD#: 1000004

Past

March 24, 1971 - September 24, 1974

JAMES G. FREEMAN & ASSOCIATES, INC.

CRD#: 5457

Past

September 26, 1969 - July 18, 1971

CENTURY SECURITIES SALES CORP

CRD#: 1000001

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".

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)

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.

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

California
(8/10/2020)

Massachusetts
(8/10/2020)

Nevada
(8/10/2020)

IAR

Nevada
(8/18/2020)

Texas
(8/10/2020)

IAR

Texas
(8/10/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/11/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/20/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 10/17/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/2/2023

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/27/1992

General Securities Principal Examination

Principal/Supervisory Exam

Series 00

Date: 8/10/1972

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PLANMEMBER WRAP FEE PROGRAM ELITE STRATEGIST DECEMBER 2024 (3/31/2025)

PLANMEMBER SCARBOROUGH BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER OPTIFUND BROCHURE 2023 MARCH (3/31/2025)

PLANMEMBER NON-PLATFORM IRA BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER SCHWAB IAR PROGRAM FEBRUARY 2025 (3/31/2025)

PLANMEMBER RETIREMENT INVESTMENT BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER Q8P IAR PROGRAM 2023 MARCH (3/31/2025)

PLANMEMBER WRAP FEE PROGRAM INVESTMENT SAVINGS PLUS (3/31/2025)

PLANMEMBER PREFERENCE AND IAR BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER WORKPLACE ADVISORY PROGRAM 2023 MARCH (3/31/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/21/2022	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Firm Stability Insights

Marc T. O'brien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Thomas O'brien's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Marc Thomas O'brien's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLANMEMBER SECURITIES CORPORATION

LINCOLN INVESTMENT

LINCOLN INVESTMENT

LEGEND ADVISORY, LLC

LEGEND EQUITIES CORPORATION

LEGEND CAPITAL CORPORATION

INTERPACIFIC INVESTORS SERVICES, INC.

FREEMAN FINANCIAL SERVICES CORPORATION

FREEMAN INC

JAMES G. FREEMAN & ASSOCIATES, INC.

CENTURY SECURITIES SALES CORP

Primary Firm SEC Registration

PLANMEMBER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 3/11/2011

Series 63

Date: 5/20/2009

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 10/17/1968

Series 26

Date: 1/2/2023

Series 24

Date: 11/27/1992

Series 00

Date: 8/10/1972

FINRA

Current Firm

PLANMEMBER SECURITIES CORPORATION

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PLANMEMBER SECURITIES CORPORATION

TRUST BUT VERIFY

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