ET
Eric C. Tharp
PLANMEMBER SECURITIES
Winter Springs, FL 32708
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CRD#: 4607972
ET
Professional summary
Eric Charles Tharp is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Winter Springs, Florida.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Eric 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
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.
RETIREMENT PLANNING ASSOCIATES dba Daybright Financial; 1052 WILLA SPRINGS DRIVE, WINTER SPRINGS, FL 32708; INSURANCE AND INVESTMENT SERVICES; START 11/2005; 50HRS/MO & DURING TRADING; IR. (2)BENCOR INC, 1052 WILLA SPRINGS DR, WINTER SPRINGS, FL, 32787 REPRESENTATIVE, INDEPENDENT AGENCY PROVIDING TAX QUALIFIED, DEFINED CONTRIBUTION RETIREMENT PLANS. START 11/05, 15 HRS WK/10 DURING TRADING. IR (3)DEMMO, THARP & ASSOCIATES, LLC;1052 WILLA SPRINGS DR, WINTER SPRINGS, FL, 32787 START DATE: 11/10/2007- SET UP TO RECEIVE INSURANCE COMMISSIONS AND TO DO PAYROLL FOR TAXES;120 HRS/MO;120HRS/MO DURING TRADING; NIR 4) U S EMPLOYEES BENEFITS SERVICE GROUP, LLC. ; 1052 WILLA SPRINGS DRIVE, WINTER SPRINGS, FL 32708; START DATE: 1/1/2015; AGENT; NATURE OF BUSINESS: UMBRELLA COMPANY FOR USRP BENEFITS GROUP - INSURANCE, BENEFITS ADMINISTRATION AND INVESTMENTS; IR; APPROX. NO HRS./MOS. DEVOTED TO THIS BUS: 0; APPROX. NO HRS. /MOS. DEVOTED TO THIS BUS DURING TRADING HRS: 0 5)US Retirement Partners (USRP); 1052 Willa Springs Drive, Winter Springs FL 32708; Start Date: 1/1/2015; Agent; Nature of Bus: Providing tax qualified, defined contribution retirement plans/fixed insurance products and investments; IR; No. Hrs./Mos. devoted to this Bus: 0; Approx. No. Hrs. /Mos. devoted to this bus during trading hrs.: 0 6) Society of Financial Awareness (SOFA); 2505 Lockwood Ave, Oviedo FL 32765; Start Date 6/7/2024; Instructor; Instructor providing General Financial Education through SOFA Power of Zero classes; 6 hrs/mo; 0 hrs/mo during trading; IR
CRS (Client Relationship Summary) - RIA
Click below to view Eric Charles Tharp's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Charles Tharp'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
October 10, 2007 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 1052 Willa Springs Drive, Winter Springs, FL 32708Office #2: 1101 Miranda Lane, Kissimmee, FL 34741Office #3: 206 Easton Dr. - Easton Professional Suites, Lakeland, FL 33803RIA
BD
CRD#: 11869
Winter Springs, FL
Current
October 9, 2007 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 1052 Willa Springs Drive, Winter Springs, FL 32708Office #2: 1101 Miranda Lane, Kissimmee, FL 34741Office #3: 206 Easton Dr. - Easton Professional Suites, Lakeland, FL 33803RIA
BD
CRD#: 11869
Winter Springs, FL
Past
December 21, 2005 - October 8, 2007
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
WINTER SPRINGS, FL
Past
December 21, 2005 - October 8, 2007
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINTER SPRINGS, FL
Past
May 16, 2005 - November 21, 2005
USALLIANZ SECURITIES, INC.
RIA
CRD#: 40875
WINTER SPRINGS, FL
Past
May 16, 2005 - November 21, 2005
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
November 14, 2003 - May 17, 2005
WADDELL & REED
RIA
CRD#: 866
MAITLAND, FL
Past
March 24, 2003 - May 17, 2005
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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
Florida(10/9/2007)
IAR
Florida(10/10/2007)
RR
Georgia(1/8/2018)
RR
Indiana(10/9/2007)
RR
Tennessee(5/11/2022)
RR
Texas(1/4/2021)
IAR
Texas(1/5/2021)
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)
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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.
