JH
Jack A. Heil
PLANMEMBER SECURITIES
Charlotte, NC
Some features on this profile are disabled
CRD#: 4255539
JH
Professional summary
Jack A. Heil, who also goes by Jack Albert Heil, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Charlotte, North Carolina.
Jack is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Jack has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jack Albert Heil
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)Jack A. Heil, CPA-5419 Stallworth Dr., Charlotte, NC 28226; Investment related; Tax Preparation/Accounting; Owner/CPA; Start date 9/1989; 100 hrs/mnth & during trading. 2) Jack A. Heil (self-employed)-5419 Stallworth Dr., Charlotte, NC 28226; Investment related; Insurance (Life, Health, Disability, Annuities) services; Agent; Start date 10/2013; 2 hrs/mnth; 0 hrs/mnth during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Jack A. Heil's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jack A. Heil'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 28, 2025 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Charlotte, NC
Current
May 28, 2025 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Charlotte, NC
Past
May 6, 2019 - May 29, 2025
LOMBARD ADVISERS INCORPORATED
RIA
CRD#: 108231
Charlotte, NC
Past
April 23, 2019 - May 29, 2025
LOMBARD SECURITIES INCORPORATED
BD
CRD#: 27954
Charlotte, NC
Past
January 25, 2007 - May 3, 2019
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CHARLOTTE, NC
Past
May 23, 2006 - May 3, 2019
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CHARLOTTE, NC
Past
October 15, 2001 - May 31, 2006
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
CHARLOTTE, NC
Past
December 20, 2000 - October 30, 2001
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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
Arizona(6/2/2025)
RR
North Carolina(5/30/2025)
IAR
North Carolina(5/30/2025)
RR
South Carolina(5/30/2025)
RR
Texas(5/28/2025)
IAR
Texas(5/28/2025)
RR
Virginia(6/9/2025)
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.
