RW
Ronald R. Welch
PLANMEMBER SECURITIES
San Jose, CA 95129
Some features on this profile are disabled
CRD#: 462767
RW
Professional summary
Ronald Richard Welch is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in San Jose, California.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Ronald has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 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) Ronald R. Welch (self employed)-920 Saratoga Ave., Suite 100 San Jose, CA 95129; Investment related; Insurance Sales & Svcs; Salesperson; Start date 1/72; 5 hrs/mnth; 0 hrs/mnth during trading. 2) Ronald R. Welch EA - 920 Saratoga Ave., Suite 100 San Jose, CA 95129; Investment related; Income Tax Preparation; Sole Proprietor; 120 hrs/mnth & during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Richard Welch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald Richard Welch'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 15, 2016 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 920 Saratoga Ave., Suite 100, San Jose, CA 95129RIA
BD
CRD#: 11869
San Jose, CA
Current
November 9, 2015 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 920 Saratoga Ave., Suite 100, San Jose, CA 95129RIA
BD
CRD#: 11869
San Jose, CA
Past
January 20, 1972 - November 6, 2015
INTERPACIFIC INVESTORS SERVICES, INC.
BD
CRD#: 4879
SANTA CLARA, 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
Arizona(11/9/2015)
RR
California(11/9/2015)
IAR
California(11/15/2016)
RR
Colorado(11/7/2023)
RR
Florida(11/9/2015)
RR
Minnesota(11/9/2015)
RR
Nevada(11/9/2015)
RR
Oregon(11/9/2015)
RR
Texas(1/17/2018)
RR
Utah(11/9/2015)
RR
Virginia(11/9/2015)
RR
Washington(11/9/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 1/17/1972
Registered Representative ExaminationSRO 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.
