OW
Owen D. Williams
PLANMEMBER SECURITIES
Federal Way, WA
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CRD#: 468109
OW
Professional summary
Owen Davis Williams, who also goes by Dave Williams, is a registered financial professional currently at PLANMEMBER SECURITIES CORPORATION located in Federal Way, Washington.
Owen is registered as a RR (Registered Representative) and started their career in finance in 1969. Owen has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 1, F04 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dave Williams
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Owen Davis Williams'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 9, 2015 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Federal Way, WA
Past
April 25, 1975 - November 6, 2015
INTERPACIFIC INVESTORS SERVICES, INC.
BD
CRD#: 4879
FEDERAL WAY, WA
Past
January 17, 1974 - July 18, 1974
INVESTMENT FINANCIAL SERVICES
BD
CRD#: 1000006
Past
July 31, 1973 - May 17, 1975
M. H. DECKARD & CO., INC.
BD
CRD#: 539
Past
July 6, 1972 - July 12, 1974
FALCON FINANCIAL SECURITIES SIN
BD
CRD#: 1000003
Past
July 15, 1969 - March 19, 1971
MFB SECURITIES, INC
BD
CRD#: 603
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.
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
Alaska(7/29/2016)
RR
Arizona(7/29/2016)
RR
California(7/29/2016)
RR
Florida(7/29/2016)
RR
Idaho(7/29/2016)
RR
Michigan(10/20/2022)
RR
Montana(7/29/2016)
RR
Nevada(7/29/2016)
RR
Oregon(7/29/2016)
RR
Texas(7/29/2016)
RR
Virginia(7/29/2016)
RR
Washington(11/9/2015)
RR
Wyoming(7/29/2016)
Exams
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: 7/8/1969
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
F04
Date: 4/10/1973
Financial Principal ExaminationPrincipal/Supervisory Exam
RR
Series 00
Date: 1/9/1973
General Securities Principal 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)
PREMIUM
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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 |
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.
