DG
David E. Goodman
PLANMEMBER SECURITIES
Henderson, NV 89014
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CRD#: 4697759
DG
Professional summary
David E Goodman, who also goes by David E Goodman, David Edward Goodman, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Henderson, Nevada.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. David has worked at 2 firms and has passed the Series 65, Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David E Goodman | David Edward Goodman
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) BMS Insurance and Tax Services, LLC-375 North Stephanie Street, Suite 2212, Bldg 22,Henderson, NV 89014; Investment related; securities-investment advisory sales & svcs; Representative/Agent; Start date 10/2024; 80 hrs/mnth & during trading. 2) Tempus Financial Group, Inc.-7427 Tomahawk Bend Ave., Las Vegas, NV 89113; Noninvestment related; Equipment finance broker-help individuals/companies acquire outside financing for large equipment purchases; President/Finance Broker; Start date 12/2010; 80 hrs/mnth & during trading.
CRS (Client Relationship Summary) - RIA
Click below to view David E Goodman'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 28, 2024 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 375 N. Stephanie Street, Suite 2212, Bldg 22, Henderson, NV 89014RIA
BD
CRD#: 11869
Henderson, NV
Past
February 23, 2004 - July 21, 2008
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
SACRAMENTO, CA
Past
September 5, 2003 - July 21, 2008
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
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.Highlighted states indicate IAR registrations
IAR
Nevada(10/28/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
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.
