NH
Nickolas R. Hankerson
PLANMEMBER SECURITIES
Bend, OR 97701
Some features on this profile are disabled
CRD#: 5171007
NH
Professional summary
Nickolas R Hankerson, who also goes by Nick Hankerson, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Bend, Oregon.
Nickolas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Nickolas has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Hankerson
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) United Financial Northwest LLC- 16577 SW Boones Ferry Ste. 200, Lake Oswego OR 97035; Investment related; Securities & Insurance Sales & Services; Agent/Co-Owner; Start date 2/17; 158 hrs/mnth & during trading. 2) Summit Financial-16577 SW Boones Ferry Ste. 200, Lake Oswego OR 97035; Investment related; Banking-entity used to pay business expenses & gather commissions; Owner; Start date 2/17; 158 hrs/mnth & during trading. 3) Nick Hankerson (self employed)-16577 SW Boones Ferry Ste. 200, Lake Oswego OR 97035; Investment related; Insurance sales & services; Agent; Start date 8/07; 3 hrs/mnth & during trading. 4)Haven Financial Group; 4985 Battle Creek Rd. SE Ste. 120, Salem OR 97302; start date 3/1/21; Owner/Agent; financial services; Securities and Insurance Sales and Service; 200 hrs/mo; 200 hrs/mo during trading; IR 5)NICK HANKERSON; 4551 SW Wood Pkwy, Portland OR 97219; START DATE: 06/01/2020; Owner; Passive Rental Property; 1 hr/mo; 0 hrs/mo during trading; NIR 6)CORNERSTONE Financial Planning Group (AKA Cornerstone FPG); 16577 Boones Ferry Rd., Ste 200, Lake Oswego OR 97035; START DATE: 01/25/2023; Owner; Oversee the Insurance and Securities sales and service conducted under this name; 1 hr/mo; 0 hrs/mo during trading; IR
CRS (Client Relationship Summary) - RIA
Click below to view Nickolas R Hankerson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nickolas R Hankerson'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
February 17, 2017 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 424 Ne Kearney Ave, Bend, OR 97701Office #2: 4985 Battle Creek Road Se, Suite 120, Salem, OR 97302Office #3: 16577 Boones Ferry Rd., Ste 200, Lake Oswego, OR 97035RIA
BD
CRD#: 11869
Bend, OR
Current
February 10, 2017 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 424 Ne Kearney Ave, Bend, OR 97701Office #2: 4985 Battle Creek Road Se, Suite 120, Salem, OR 97302Office #3: 16577 Boones Ferry Rd., Ste 200, Lake Oswego, OR 97035RIA
BD
CRD#: 11869
Bend, OR
Past
January 3, 2017 - February 17, 2017
LINCOLN INVESTMENT
BD
CRD#: 519
PORTLAND, OR
Past
August 18, 2010 - February 17, 2017
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
PORTLAND, OR
Past
August 2, 2010 - January 3, 2017
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PORTLAND, OR
Past
August 13, 2007 - August 5, 2010
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
TIGARD, OR
Past
July 30, 2007 - August 5, 2010
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
TIGARD, OR
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
Arizona(6/23/2021)
RR
California(2/10/2017)
RR
Connecticut(8/15/2023)
RR
Florida(3/8/2022)
RR
Hawaii(3/8/2022)
RR
Idaho(3/8/2022)
RR
Kentucky(3/8/2022)
RR
Massachusetts(3/8/2022)
RR
Missouri(8/15/2023)
RR
Montana(8/15/2023)
RR
Nevada(3/8/2022)
RR
North Carolina(3/8/2022)
RR
Oregon(2/10/2017)
IAR
Oregon(2/17/2017)
RR
Texas(3/8/2022)
IAR
Texas(3/10/2022)
RR
Washington(2/10/2017)
RR
Wisconsin(8/15/2023)
RR
Wyoming(8/15/2023)
Exams
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.
