JB
Joseph S. Bauers
PLANMEMBER SECURITIES
San Diego, CA 92131
Some features on this profile are disabled
CRD#: 4437770
JB
Professional summary
Joseph Scott Bauers, who also goes by Joseph Scott Bauers Jr, Joseph Scott Bauers Jr, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in San Diego, California and SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE located in San Diego, California.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph Scott Bauers Jr | Joseph Scott Bauers Jr
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) BSA Financial Network and Insurance Services, Inc dba Superior Planning Financial Solutions fka CALPRO Network Financial Services; 10085 Carroll Canyon Road , Suite 150, San Diego, CA 92131; Investment related; Securities & insurance sales & svcs; Financial Advisor; Start date 11/16; 160 hrs/mnth & during trading. 2) Joseph Bauers Financial & Insurance Services, Inc.; 10085 Carroll Canyon Road , Suite 150, San Diego CA 92131; Agent; fixed insurance sales and service; Start date 11/2016; 5 hrs/mo; 3 hrs/mo during trading; IR 3) BSA Financial Network and Insurance Services, Inc.; 10085 Carroll Canyon Road , Suite 150, San Diego CA 92131; Start Date 11/1/2016; Employee/Agent; Salary support provided for activities conducted under CALPRO Network Financial Services; 5 hrs/mo during trading; IR 4) A PERFECT PEAR, LLC; 2555 Camino Del Rio South, San Diego CA 92108, United States; start date 5/25/2022; Co-Owner; Corporation housing real estate investment(s); NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0; NIR 5) BGLS HOLDINGS LLC; 10085 Carroll Canyon Rd, San Diego CA 92131; Start date 5/15/24; Owner/Member; holding company for interest in 10085 Carroll Canyon LLC; 0 hrs/mo; 0 hrs/mo during trading; NIR 6) 10085 CARROLL CANYON, LLC; 10085 Carroll Canyon, San Diego CA 92131; Start date 5/3/2023; Owner/Member; Holding company for commercial real estate purchase including 10085 Carrol Canyon in San Diego CA; 0 hrs/mo; 0 hrs/mo during trading; NIR 7) BAUERS AND LEIGHTON HOLDINGS, LLC; 2555 Camino Del Rio South, San Diego CA; 5/15/2024; Owner/Member; Holding company for 25% interest from A Perfect Pear, LLC; 0 hrs/mo; 0 hrs/mo during trading; NIR 8) Carmel Capital Partners, LLC, Investment Adviser Representative, 11750 SORRENTO VALLEY ROAD SUITE 110, San Diego, CA, 92121. 5 hours/month, investment related. 9) PlanMember Securities, Registered Representative, 6187 CARPINTERIA AVENUE, Carpinteria, CA 93013, 5 hours/month during trading. 10) Superior Planning LLC dba Superior Planning Wealth Management & Family Office (SPWMFO); 10085 Carroll Canyon Rd, 150, San Diego CA 92131; Start date 09/01/2024; Owner/Investment Advisor Representative; Registered Investment Advisory Firm; 40 hrs/mo; 40 hrs/mo during trading; IR
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Scott Bauers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Scott Bauers'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
November 22, 2016 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 10085 Carroll Canyon Road, Suite 150, San Diego, CA 92131Office #2: 2555 Camino Del Rio South Suite #201, San Diego, CA 92108RIA
BD
CRD#: 11869
San Diego, CA
Current
September 20, 2024 - Present
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE
Office #1: 10085 Carroll Canyon Road Suite 150, San Diego, CA 92131RIA
CRD#: 130711
SAN DIEGO, CA
Current
November 22, 2016 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 10085 Carroll Canyon Road, Suite 150, San Diego, CA 92131RIA
BD
CRD#: 11869
San Diego, CA
Past
June 4, 2015 - October 31, 2016
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
December 31, 2001 - June 3, 2015
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAN DIEGO, CA
Past
October 23, 2001 - June 3, 2015
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SAN DIEGO, 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
Alabama(11/1/2023)
RR
Arizona(11/1/2023)
RR
California(11/22/2016)
IAR
California(11/22/2016)
RR
Colorado(1/20/2017)
RR
Connecticut(1/8/2019)
RR
District of Columbia(11/5/2021)
RR
Florida(1/8/2019)
RR
Georgia(11/1/2023)
RR
Idaho(1/8/2019)
RR
Illinois(1/8/2019)
RR
Maine(9/17/2021)
RR
Massachusetts(10/14/2021)
RR
Minnesota(11/1/2023)
RR
Nebraska(11/1/2023)
RR
Nevada(9/17/2021)
RR
New York(11/1/2023)
RR
North Carolina(11/1/2023)
RR
Oklahoma(2/24/2022)
RR
Oregon(8/4/2017)
RR
Pennsylvania(9/21/2023)
RR
Rhode Island(8/7/2024)
RR
South Carolina(11/1/2023)
RR
Tennessee(1/20/2023)
RR
Texas(1/8/2019)
RR
Utah(1/8/2019)
RR
Washington(12/11/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
