MM
Mahala A. Murphy-martin
PLANMEMBER SECURITIES
Bothell, WA 98011
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CRD#: 5281831
MM
Professional summary
Mahala Ann Murphy-martin, who also goes by Mahala Ann Leahy, Mahala Ann Murphy, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Bothell, Washington.
Mahala is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Mahala has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mahala Ann Leahy | Mahala Ann Murphy
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) STRATEGIC RETIREMENT CONSULTANTS DBA MAHALA MURPHY-MARTIN AGENCY-19125 North Creek Pkwy Suite 120 #106, BOTHELL, WA 98011; INVESTMENT RELATED; Banking Only; OWNER; START DATE 10/09; 10 HRS/MNTH; 10 HRS/MNTH DURING TRADING. 2)INDEPENDENT AGENT; START DATE 9/09; 180-240 HRS/MNTH; 100 HRS/MNTH DURING TRADING. 5)MAHALA MURPHY-MARTIN;19125 North Creek Pkwy Suite 120 #106, BOTHELL, WA 98011;START DATE: 11/10/2014; 3) NOTARY/NOTARY PUBLIC ; PROPRIETOR ;NOT INVESTMENT RELATED;NUMBER OF HOURS/MONTH DEVOTED TO THIS BUSINESS:05 ;NUMBER OF HOURS/MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS:10 IR 4)Mahala Murphy-Martin; 269 Rabbit Lane Leavenworth WA 98826; Start Date 8/18/2020; Notary; Providing Notary Services; 2 hrs/mo; 2 hrs/mo during trading; NIR 5)THE DWELLING PLACE; 12686 Shore St., Leavenworth WA 98826; START DATE: 10/03/2022; Board Member; Serve as a Board Member for an adult group home for 5 developmentally challenged men; NUMBER OF HOURS: 1; SECURITIES TRADING HOURS: 0; NIR 5)LEAVENWORTH ROTARY; Leavenworth Rotary Club, P.O. Box 532 Leavenworth, WA 98826; START DATE: 07/01/2023; President; Preside over Board activities, conduct the meetings, add support to the various activities/events for the Club; NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 8; NIR
CRS (Client Relationship Summary) - RIA
Click below to view Mahala Ann Murphy-martin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mahala Ann Murphy-martin'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
December 19, 2014 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 19125 North Creek Pkwy Suite 120 Office #106, Bothell, WA 98011RIA
BD
CRD#: 11869
Bothell, WA
Current
October 13, 2014 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 19125 North Creek Pkwy Suite 120 Office #106, Bothell, WA 98011RIA
BD
CRD#: 11869
Bothell, WA
Past
February 19, 2007 - August 16, 2007
AMERICAN FAMILY SECURITIES, LLC
BD
CRD#: 104433
BELLEVUE, WA
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(8/6/2019)
RR
California(8/6/2019)
RR
Colorado(5/23/2024)
RR
Connecticut(9/8/2023)
RR
Florida(11/12/2019)
RR
Idaho(8/6/2019)
RR
Maryland(10/16/2019)
RR
Oregon(8/6/2019)
RR
South Carolina(11/17/2023)
RR
Tennessee(12/6/2023)
RR
Texas(8/6/2019)
RR
Washington(12/18/2014)
IAR
Washington(12/19/2014)
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.
