CC
Cody D. Carpenter
PLANMEMBER SECURITIES
Mcdonough, GA 30253
Some features on this profile are disabled
CRD#: 4428953
CC
Professional summary
Cody Don Carpenter MR., CFP® is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Mcdonough, Georgia.
Cody is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Cody has worked at 1 firm and has passed the Series 65, 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) FINANCIAL U LLC ( STARTED 2/2012) DBA;ABC EDUCATIONAL SERVICES; 1700 PENNSYLVANIA AVE MCDONOUGH GA 30253; START DATE 7/2003; 160 HRS/MONTH;140 TRADINGHRS/MONTH; AGENCY ADMINISTERS FINANCIAL SERVICES &INSURANCE PRODUCTS THROUGH SCHOOL SYSTEM; IR. (2)CODY D. CARPENTER DBA RETIREMAX, LLC;1700 PENNSYLVANIA AVE MCDONOUGH GA 30253; START DATE: 12/1/2013;FINANCIAL SERVICES SOFTWARE DESIGN & SALES;LIMITED PARTNER;INVESTMENT RELATED; DESIGN OF THE SOFTWARE APPLICATION AND MARKET THE SOFTWARE TO OTHER FINANCIAL ADVISORS;NUM OF HRS/MTH DEVOTED TO THIS BUS:10 ; NUM OF HRS/MTH DEVOTED TO THIS BUSI DURING TRADING HOURS:5 (3) BMS Financial, Insurance & Tax Services; 375 N Stephanie Street Suite 2212 Henderson, NV 89014; start date: 3/3/2016; Proprietor; Nature of Business: Tax preparation & financial services including securities and insurance products such as fixed insurance and fixed indexed annuities; IR; Approx. Number of Hours/Month Devoted to this Business: 20; Approx. Number of Hours/Month Devoted to this Business during trading hours: 10 (4) IPC, LLC; 1755 North Brown Rd, Ste 200 Lawrenceville GA 30043; Start date 11/1/2013; VP of Sales and Marketing; Insurance Marketing Organization recruiting and developing agents to market insurance products and fixed annuities; IR (5) The Rise Retreat At Helton Falls 58 Cottage Dr. Blairsville, GA 30512 512-694-4240/Start date 9/21 land purchase 1/21/ Non-Investment Related/VRBO business Rental Income/Cody Carpenter owner/ 10hrs mo / 5 hrs mo during trading. (6) VIRGINIA RETIREMENT SERVICES INC. (VRSI); 580 W. Main Street, Wythville VA 24382; Start Date 01/01/2025; Owner/Agent/Director of Marketing; Provide assistance to the firm for training and recruiting of agents and representatives in the financial services business as well as provide marketing support. Will also offer securities and insurance products to clients under the VRSI name.; 30 hours/mo; 10 hrs/mo during trading; IR
CRS (Client Relationship Summary) - RIA
Click below to view Cody Don Carpenter MR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cody Don Carpenter MR.'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®
CFP®
Start date: 2009
Experience
Current
October 16, 2007 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 1700 Pennsylvania Ave, Mcdonough, GA 30253Office #2: 375 N. Stephanie Street, Suite 2212, Bldg 22, Henderson, NV 89014Office #3: 3601 Sw 29th Street, Suite 125-a, Topeka, KS 66614Office #4: 4297 Kinsey Drive, Tyler, TX 75703RIA
BD
CRD#: 11869
Mcdonough, GA
Current
July 24, 2001 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 1700 Pennsylvania Ave, Mcdonough, GA 30253Office #2: 375 N. Stephanie Street, Suite 2212, Bldg 22, Henderson, NV 89014Office #3: 3601 Sw 29th Street, Suite 125-a, Topeka, KS 66614Office #4: 4297 Kinsey Drive, Tyler, TX 75703RIA
BD
CRD#: 11869
Mcdonough, GA
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(1/2/2014)
RR
California(12/1/2010)
RR
Florida(5/27/2003)
RR
Georgia(2/6/2003)
IAR
Georgia(10/16/2007)
RR
Hawaii(1/2/2014)
RR
Illinois(6/9/2021)
RR
Kansas(1/2/2019)
RR
Maryland(4/10/2025)
RR
Nevada(1/2/2014)
RR
North Carolina(9/13/2013)
RR
Ohio(4/11/2025)
RR
Oregon(4/10/2025)
RR
Pennsylvania(12/7/2020)
RR
South Carolina(6/9/2021)
RR
Tennessee(2/2/2023)
RR
Texas(8/8/2001)
RR
Utah(4/10/2024)
RR
Virginia(9/12/2013)
RR
Washington(6/9/2021)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
