JP
James L. Patton
PLANMEMBER SECURITIES
Winchester, VA 22601
Some features on this profile are disabled
CRD#: 4412150
JP
Professional summary
James Luther Patton, who also goes by Jim Patton, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Winchester, Virginia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Patton
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) OLD DOMINION INSURANCE & INVESTMENTS-420 WEST JUBAL EARLY DR. STE. 202, WINCHESTER, VA 22601; INVESTMENT RELATED; INVESTMENTS & INSURANCE SALES & SVCS; REPRESENTATIVE; START DATE 5/10; 160 HRS/MNTH; 130 HRS/MNTH DURING TRADING. 2) DOOR DASH; 137 Tye Ct, Winchester VA 22602; Start Date 7/3/2025; Dasher/Delivery Driver; Pick up and deliver Door Dash orders; 40 hrs/mo; 0 hrs/mo during trading; NIR
CRS (Client Relationship Summary) - RIA
Click below to view James Luther Patton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Luther Patton'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
June 26, 2014 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 420 W. Jubal Early Drive, Suite #202, Winchester, VA 22601RIA
BD
CRD#: 11869
Winchester, VA
Current
June 26, 2014 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 420 W. Jubal Early Drive, Suite #202, Winchester, VA 22601RIA
BD
CRD#: 11869
Winchester, VA
Past
May 14, 2010 - June 25, 2014
GWN SECURITIES INC.
RIA
CRD#: 128929
WINCHESTER, VA
Past
May 14, 2010 - June 25, 2014
GWN SECURITIES INC.
BD
CRD#: 128929
WINCHESTER, VA
Past
September 4, 2001 - June 7, 2010
HORACE MANN INVESTORS, INC.
BD
CRD#: 11643
WINCHESTER, VA
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
Idaho(2/23/2022)
RR
Maryland(6/26/2014)
RR
North Carolina(1/19/2021)
RR
South Carolina(1/21/2022)
RR
Virginia(6/26/2014)
IAR
Virginia(6/26/2014)
RR
West Virginia(6/26/2014)
Exams
State Security Law Exam
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.
