Steve U. Sarwono
PLANMEMBER SECURITIES
Tacoma, WA 98499
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CRD#: 5496629
Professional summary
Steve Utama Sarwono, CFP®, who also goes by Steve Pranoto, Steve U Sarwono, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Tacoma, Washington.
Steve is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Steve has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Pranoto | Steve U Sarwono
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) STEVE SARWONO-SELF EMPLOYED, 10209 BRIDEGPORT WAY SW, STE. D10, TACOMA, WA 98499; INVESTMENT RELATED; INSURANCE SALES & SVCS; INDEPENDENT AGENT; START DATE 7/10; 20 HRS/MNTH; 10 HRS/MNTH DURING TRADING. (2) STEVE SARWONO LLC DBA BATIK FINANCIAL; 10209 Bridgeport Way SW, Ste D10, Tacoma WA 98499; Start Date; 05/19/2011; Proprietor; Batik Financial provides financial planning and retirement planning to clients. We also offer life insurance and LTC insurance; NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160; IR (3) QUAD SN LLC; 10209 Bridgeport Way SW, Ste D10, Tacoma WA 98499; START DATE: 11/09/2022; third party seller on Amazon & eBay; Sells consumer electronics and video games as a third-party seller via Amazon and eBay; NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0; NIR (4) CAMPUS CREST HOMEOWNERS ASSOCIATION; 4816 70th Ave W, University Place WA 98467; Start Date: 01/01/2022; Board Member/Secretary; Meet a few times a year to discuss HOA business; 2 hrs/mo; o hrs/mo during trading; NIR
CRS (Client Relationship Summary) - RIA
Click below to view Steve Utama Sarwono's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steve Utama Sarwono'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®
CFP®
Start date: 2016
Experience
Current
January 28, 2013 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 10209 Bridgeport Way Sw, Suite D10, Tacoma, WA 98499RIA
BD
CRD#: 11869
Tacoma, WA
Current
January 23, 2013 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 10209 Bridgeport Way Sw, Suite D10, Tacoma, WA 98499RIA
BD
CRD#: 11869
Tacoma, WA
Past
February 28, 2011 - January 22, 2013
SIGNATOR FINANCIAL SERVICES, INC.
RIA
CRD#: 19061
TACOMA, WA
Past
February 28, 2011 - January 22, 2013
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
TACOMA, WA
Past
July 1, 2010 - March 7, 2011
WADDELL & REED
RIA
CRD#: 866
TACOMA, WA
Past
June 17, 2010 - March 7, 2011
WADDELL & REED
BD
CRD#: 866
TACOMA, 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(9/24/2021)
RR
California(9/22/2021)
RR
Colorado(6/30/2022)
RR
Idaho(10/31/2019)
RR
Mississippi(9/22/2021)
RR
Montana(6/2/2022)
RR
New Mexico(3/6/2025)
RR
New York(9/25/2025)
RR
Oregon(9/29/2021)
RR
South Carolina(2/22/2024)
RR
Texas(4/3/2023)
IAR
Texas(4/3/2023)
RR
Virginia(11/6/2018)
RR
Washington(1/28/2013)
IAR
Washington(1/28/2013)
RR
Wyoming(3/10/2025)
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#: 11869Tacoma, WA 98499TRUST BUT VERIFY
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