RR
Robert D. Ring
PLANMEMBER SECURITIES
Richland Hills, TX
Some features on this profile are disabled
CRD#: 4751922
RR
Professional summary
Robert David Ring, who also goes by David Ring, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Richland Hills, Texas.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Ring
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) INDEPENDENT FINANCIAL STRATEGIES LLC-7224 Brooks Ave. Richland Hills, TX 76118; INVESTMENT RELATED; FINANCIAL, INVESTMENT & INSURANCE SALES & SVCS; SENIOR PARTNER; START DATE 1/15; 160 HRS/MNTH & DURING TRADING. 2) RDR WEALTH MANAGEMENT-7224 Brooks Ave. Richland Hills, TX 76118; INVESTMENT RELATED; FINANCIAL, INVESTMENT & INSURANCE SALES & SVCS; PRESIDENT; START DATE 1/15; 160 HRS/MNTH & DURING TRADING. 3) DAVID RING (SELF EMPLOYED)-7224 BROOKS AVE, RICHLAND HILLS, TX 76118; NONINVESTMENT RELATED; RENTAL PROPERTY; OWNER/LANDLORD; START DATE 1/15; 10 HRS/MNTH; 0 HRS/MNTH DURING TRADING. 4)White Glove Workshop; 7224 Brooks Ave. Richland Hills, TX 76118; Instructor; public education workshops; Instructor; start date 2/22/2017; 2 hrs/mo; 0 hrs/mo during trading; NIR
CRS (Client Relationship Summary) - RIA
Click below to view Robert David Ring's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert David Ring'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
January 22, 2015 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Richland Hills, TX
Current
January 22, 2015 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Richland Hills, TX
Past
June 25, 2012 - January 28, 2015
ADVISOR RESOURCE COUNCIL
RIA
CRD#: 164109
FORT WORTH, TX
Past
December 17, 2010 - March 27, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
FT WORTH, TX
Past
December 17, 2010 - January 23, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
FT WORTH, TX
Past
February 20, 2008 - December 20, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NORTH RICHLAND HILLS, TX
Past
February 20, 2008 - December 20, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NORTH RICHLAND HILLS, TX
Past
October 25, 2006 - February 14, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FORT WORTH, TX
Past
October 25, 2006 - February 14, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
FORT WORTH, TX
Past
January 24, 2006 - October 27, 2006
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WESTLAKE, TX
Past
February 15, 2005 - September 21, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
HALTOM CITY, TX
Past
March 25, 2004 - September 21, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
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(6/10/2022)
RR
Florida(3/29/2023)
RR
Texas(1/22/2015)
IAR
Texas(1/22/2015)
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.
