JA
James M. Adgar
PLANMEMBER SECURITIES
Alameda, CA 94501
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CRD#: 4734751
JA
Professional summary
James Michael Adgar is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Alameda, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 22 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.
1) James Adgar (self employed)-2413 Webb Ave., Ste. E, Alameda, CA 94501; Investment related; Insurance/annuities (Fixed/FIA) sales & svcs; Agent; Start date 10/19; 20 hrs/mnth & during trading. 2) Bay Island Officials Association-3601 Virden Ave., Oakland, CA 94619; Noninvestment related; Sports officiating; Sports Official; Start date 08/04; 20 hrs/mnth; 0 hrs/mnth during trading.
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Adgar's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Michael Adgar'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 4, 2019 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2413 Webb Ave Suite E, Alameda, CA 94501RIA
BD
CRD#: 11869
Alameda, CA
Current
October 3, 2019 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2413 Webb Ave Suite E, Alameda, CA 94501RIA
BD
CRD#: 11869
Alameda, CA
Past
December 13, 2017 - September 27, 2019
VALLEY WEALTH STRATEGIES, LLC
RIA
CRD#: 289737
Alameda, CA
Past
November 29, 2017 - April 4, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
ALAMEDA, CA
Past
November 29, 2017 - September 27, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
ALAMEDA, CA
Past
October 28, 2009 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
ALAMEDA, CA
Past
October 26, 2009 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
ALAMEDA, CA
Past
August 13, 2008 - October 29, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SAN JOSE, CA
Past
September 3, 2004 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
BD
CRD#: 14068
SAN JOSE, CA
Past
January 5, 2004 - September 2, 2004
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, 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
California(10/4/2019)
IAR
California(10/4/2019)
RR
Florida(2/25/2020)
RR
Idaho(8/22/2024)
RR
Montana(2/9/2023)
RR
Nevada(5/27/2025)
RR
Oregon(1/22/2020)
RR
South Carolina(1/24/2023)
RR
Washington(6/29/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/13/2018
General Securities Representative ExaminationGeneral Industry/Product 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.
