FD
Frederick A. Drummond
PLANMEMBER SECURITIES
Weston, FL 33331
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CRD#: 5157694
FD
Professional summary
Frederick Arthur Drummond, who also goes by Frederick Arthur Drummond III, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Weston, Florida.
Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Frederick has worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frederick Arthur Drummond Iii
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) INSURANCE AGENT; 2771 EXECUTIVE PARK DRIVE SUITE 4 WESTON, FL 33331;START 6/2006; 40HRS/WK & DURING TRADING; $30K/YR IR 2)BENCOR, INC dba Daybright Financial.; REPRESENTATIVE; FINANCIAL SERVICES; 2771 EXECUTIVE PARK DRIVE SUITE 4 WESTON, FL 33331 START 1/2007; 40 HOURS/WEEK; 45 HOURS/WEEK DURING TRADING; IR; AN INDEPENDENT AGENCY PROVIDING TAX QUALIFIED, DEFINED CONTRIBUTION PLANS. 3)BOARD MEMEBER FOR DMIC A NON-PROFIT RELIGIOUS ORAGANIZATION; $0. 4)PRESIDENT OF CREATIVE ENTERPRISES INC.; 2771 EXECUTIVE PARK DRIVE SUITE 4 WESTON, FL 33331 DBA BRAND GENESIS; S-CORP PROVIDING BRANDING AND MARKETING CONSULTATIONS. 20HRS/MO; START JUNE 2004: NIR. 5) DP MANGEMENT INC; 2771 EXECUTIVE PARK DRIVE SUITE 4 WESTON, FL 33331;START 01/2010; DIRECTOR; 1/3RD OWNER; COMPANY PROVIDES ADMINISTRATIVE SUPPORT TO OUTSIDE COMPANIES WHO NEED OFFICE SUPPORT SUCHA S ANSWERING PHONES, COPING, MAILINGS, STUFFIN ENVELOPES, RESEARCH ETC. 20HRS/MO; DURING TRADE HOURS NIR.(6)BENCOR RETIREMENT GROUP LLC DBA BENCOR RETIREMENT CONSULTANTS 2771 EXECUTIVE PARK DRIVE SUITE 4 WESTON FL 33331, START DATE 1/1/2009, AGENT, INSURANCE AND SECURITIES SALES AND SERVICES, 120 HRS/MONTH, 120 HRS/MO DURING TRADING, IR 7)SOUTH FLORIDA EDUCATIONAL FINANCIAL SERVICES LLC ; 2771 EXECUTIVE PARK DRIVE, STE 4 WESTON, FL 33331;START DATE: 3/1/2014;LLC OWNER; FINANCIAL AGENCY FOR SECURITIES AND INSURANCE (FIXED INSURANCE INCLUDING LIFE, ANNUITIES, AND LTC)INVESTMENT RELATED; NUM OF HRS/MTH DEVOTED TO THIS BUSINESS:1 ;NUMOF HRS/MTH DEVOTED TO THIS BUS DURING TRADING HRS:1 (8) U S EMPLOYEES BENEFITS SERVICE GROUP, LLC ; 2771 EXECUTIVE PARK DRIVE SUITE 4 WESTON, FL 33331; START DATE: 1/1/2015; AGENT; NATURE OF BUSINESS: UMBRELLA COMPANY FOR USRP BENEFITS GROUP - INSURANCE, BENEFITS ADMINISTRATION AND INVESTMENTS; IR; APPROX. NO HRS./MOS. DEVOTED TO THIS BUS: 0; APPROX. NO HRS. /MOS. DEVOTED TO THIS BUS DURING TRADING HRS.: 0 (9)Drummond Brothers LLC; 2771 Executive Park Drive Suite 4 Weston FL 33331; Partner/Agent; Start Date 6/10/2017; Securities and Insurance Sales and Services; 160 hrs/mo and 120 hrs/mo during trading; IR (10)Drummond Brothers College Consulting LLC; 2771 Executive Park Drive Suite 4 Weston FL 33331; Co-Owner; Start Date 6/1/2017; Consulting for parents of potential college applicants; 20 hrs/mo; 20 hrs/mo during trading; NIR
CRS (Client Relationship Summary) - RIA
Click below to view Frederick Arthur Drummond's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frederick Arthur Drummond'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
August 21, 2008 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2771 Executive Park Drive Suite 4, Weston, FL 33331RIA
BD
CRD#: 11869
Weston, FL
Current
October 10, 2007 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2771 Executive Park Drive Suite 4, Weston, FL 33331RIA
BD
CRD#: 11869
Weston, FL
Past
June 16, 2006 - October 9, 2007
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
FT LAUDERDALE, FL
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
Alabama(1/29/2024)
RR
California(9/4/2024)
RR
Colorado(1/29/2024)
RR
Florida(10/10/2007)
IAR
Florida(8/21/2008)
RR
Georgia(11/3/2021)
RR
North Carolina(1/2/2018)
RR
Texas(8/26/2022)
IAR
Texas(8/29/2022)
RR
Washington(1/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General 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.
Company Information
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869Weston, FL 33331TRUST BUT VERIFY
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