CN
Clifford I. Nichols
PLANMEMBER SECURITIES
Richardson, TX 75082
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CRD#: 4529225
CN
Professional summary
Clifford Ike Nichols, who also goes by Ike Nichols Clifford, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Richardson, Texas.
Clifford is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Clifford has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ike Nichols Clifford
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.
INSPIRE FINANCIAL GROUP -3513 SPECTRUM BLVD, STE 200, RICHARDSON, TX 75082; INVESTMENT RELATED; FINANCIAL & INSURANCE SALES & SVCS; REGISTERED REP/AGENT; START DATE 1/05; 120 HRS/MNTH; 100 HRS/MNTH DURING TRADING.
2) U.S. RETIREMENT PARTNERS (USRP); 3513 SPECTRUM BLVD SUITE 200, RICHARDSON TX 75082; START DATE: 1/1/2013; AGENT; NATURE OF BUS: INSURANCE AND INVESTMENTS; IR; APPROX. NO. OF HRS./MOS. DEVOTED TO THIS BUS: 40; APPROX. NO. OF HRS./MOS. DEVOTED TO THIS BUS. DURING TRADING HRS.: 40
CRS (Client Relationship Summary) - RIA
Click below to view Clifford Ike Nichols's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Clifford Ike Nichols'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
January 29, 2014 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 3513 Spectrum Blvd, Suite 200, Richardson, TX 75082RIA
BD
CRD#: 11869
Richardson, TX
Current
January 29, 2014 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 3513 Spectrum Blvd, Suite 200, Richardson, TX 75082RIA
BD
CRD#: 11869
Richardson, TX
Past
March 22, 2010 - January 14, 2014
GWN SECURITIES INC.
RIA
CRD#: 128929
RICHARDSON, TX
Past
March 22, 2010 - January 14, 2014
GWN SECURITIES INC.
BD
CRD#: 128929
RICHARDSON, TX
Past
May 23, 2007 - March 22, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
RIA
CRD#: 36451
RICHARDSON, TX
Past
May 21, 2007 - March 22, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
RICHARDSON, TX
Past
March 8, 2006 - May 1, 2007
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
DALLAS, TX
Past
March 6, 2006 - May 1, 2007
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
DALLAS, TX
Past
June 30, 2005 - March 3, 2006
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
CARROLLTON, TX
Past
June 4, 2002 - March 3, 2006
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
CARPINTERIA, 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
North Dakota(7/9/2025)
RR
Texas(1/29/2014)
IAR
Texas(1/29/2014)
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.
