ES
Emiliano C. Sauceda
PLANMEMBER SECURITIES
San Dimas, CA 91773
Some features on this profile are disabled
CRD#: 5412736
ES
Professional summary
Emiliano Cuitlahuac Sauceda is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in San Dimas, California.
Emiliano is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Emiliano has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. EMILIANO SAUCEDA-SELF EMPLOYED; INVESTMENT RELATED; 540 E. FOOTHILL BLVD., STE. #208, SAN DIMAS, CA 91773; FIXED INSURANCE BUSINESS; INDEPENDENT AGENT; START DATE 2/07; 160 HRS/MNTH; 8 HRS/MNTH DURING TRADING; INSURANCE SALES & SERVICES (FIXED INDEX ANNUITIES LIFE, HEALTH, DISABILITY, LTC)2. DBA A.R. HUGUEZ AND ASSOCIATES.; 540 EAST FOOTHILL BLVD., STE. 208 SAN DIMAS, CA 91773; AGENT; STARTED 1/9/2013; INVESTMENT AND INSURANCE SALES AND SERVICES; NUM OF HRS/MTH DEVOTED TO THIS BUS; 160 ;NUM OF HRS/MTH DEVOTED TO THIS BUS DURING TRADING HOURS:10 IR 3.) Board of Directors:
East Los Angeles College Alumni Association
;
1301 Avenida Cesar Chavez
Monterey Park, CA 91754
Business Phone: (323) 265-8901 Business Fax: (323) 260-8197 Start Date: 11/1/2019 Nature of Business:
Alumni Association Non IR
pay phone or ATM sales, or promissory notes?
Not Selected YesSelected No
1.1.12 Does this business activity invlove the offer or sale of real estate or mortgages?
Not Selected YesSelected No
1.1.13 Your Position/Title or Relationship: Board Member
1.1.14 Type of business orginization: Alumn i Association
1.1.15 Is the business organization a partnership?
Not Selected YesSelected No
1.1.18 Is the business organization a sole propietorship?
Not Selected YesSelected No
1.1.20 If Other, please describe:not answered
1.1.21 How many employees does this business have? 3
1.1.22 Are there other Registered Reps., associated or NOT associated with PSEC, affiliated with this business?
Not Selected YesSelected No
1.1.23 Please identify the source of initial and ongoing capital of this business:
Charitable organization provides funding for meals for students, alumni networking events and sporting events.
1.1.24 Do you have a financial interest in this business?No
1.1.26 Approx. Number of Hours/Month Devoted to this Business:
3
1.1.27 Approx. Number of Hours/Month Devoted to this Business during trading hours:
0
1.1.28 Approx. Annual Compensation from this business: 0.00
CRS (Client Relationship Summary) - RIA
Click below to view Emiliano Cuitlahuac Sauceda's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Emiliano Cuitlahuac Sauceda'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
June 23, 2020 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 540 E. Foothill Blvd., Suite 208, San Dimas, CA 91773Office #2: 540 East Foothill Blvd., Ste. 208, San Dimas, CA 91793RIA
BD
CRD#: 11869
San Dimas, CA
Current
January 9, 2013 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 540 E. Foothill Blvd., Suite 208, San Dimas, CA 91773RIA
BD
CRD#: 11869
San Dimas, CA
Past
May 12, 2010 - January 11, 2013
OSAIC SERVICES, INC.
BD
CRD#: 133763
SOUTH PASADENA, CA
Past
August 6, 2008 - May 6, 2010
ALLEGIANT SECURITIES L.L.C.
BD
CRD#: 133912
MIAMI, 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
California(1/9/2013)
IAR
California(6/23/2020)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
