JN
Juan P. Novoa
PLANMEMBER SECURITIES
Fort Lauderdale, FL 33334
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CRD#: 5307041
JN
Professional summary
Juan Pablo Novoa, who also goes by John Novoa, Juan P Novoa Castro, Juan Pablo Novoa Castro, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Fort Lauderdale, Florida.
Juan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Juan has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Novoa | Juan P Novoa Castro | Juan Pablo Novoa Castro
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) Bencor dba Benefits Retirement Group also dba Daybright Financial -800 E. Cypress Creek Rd, Ste 300, Ft. Lauderdale, FL 33334; Investment related; 401(a) sick and/or vacation pay plans sales & services; Independent Agent; Start date 12/18; 160 hrs/mnth & during trading. 2) U.S. Retirement Partners (USRP)-99 Wood Ave South, Ste. 501, Iseling, NJ 08830; Investment related; Retirement planning & insurance sales & svcs; Independent Retirement Planning Specialist/Agent; Start date 12/18; DBA name only.
CRS (Client Relationship Summary) - RIA
Click below to view Juan Pablo Novoa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Juan Pablo Novoa'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 17, 2018 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 800 East Cypress Creek Road, Suite 300, Fort Lauderdale, FL 33334RIA
BD
CRD#: 11869
Fort Lauderdale, FL
Current
December 13, 2018 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 800 East Cypress Creek Road, Suite 300, Fort Lauderdale, FL 33334RIA
BD
CRD#: 11869
Fort Lauderdale, FL
Past
September 9, 2016 - November 26, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Boca Raton, FL
Past
May 14, 2007 - November 26, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Boca Raton, 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(10/14/2020)
RR
California(4/29/2024)
RR
Colorado(7/7/2025)
RR
Connecticut(8/2/2024)
RR
Florida(12/13/2018)
IAR
Florida(12/17/2018)
RR
Georgia(10/7/2025)
RR
Maine(8/23/2022)
RR
Maryland(9/11/2023)
RR
New York(1/19/2023)
RR
North Carolina(8/9/2021)
RR
Oklahoma(10/2/2023)
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.
Company Information
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869Fort Lauderdale, FL 33334TRUST BUT VERIFY
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