James R. Craig
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Robert Craig, who also goes by Clark Craig, Jim Craig, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 15 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2011 - December 31, 2012
PLANMEMBER SECURITIES CORPORATION
September 9, 2009 - December 31, 2012
PLANMEMBER SECURITIES CORPORATION
August 16, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
August 16, 2006 - September 22, 2009
MSI FINANCIAL SERVICES, INC.
December 21, 2001 - August 21, 2006
EQUITY SERVICES, INC.
January 27, 2000 - August 21, 2006
EQUITY SERVICES, INC.
January 11, 1999 - January 26, 2000
WALNUT STREET SECURITIES, INC.
December 23, 1996 - January 8, 1999
OSAIC WEALTH, INC.
May 22, 1996 - December 12, 1996
WALNUT STREET SECURITIES, INC.
April 5, 1995 - May 7, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 4, 1986 - April 17, 1995
WALNUT STREET SECURITIES, INC.
January 14, 1986 - September 10, 1986
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 30, 1985 - January 14, 1987
GENERAL AMERICAN LIFE INSURANCE COMPANY
October 5, 1984 - January 18, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
January 8, 1982 - October 17, 1984
GUARDIAN INVESTOR SERVICES LLC
November 24, 1980 - September 24, 1984
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 13, 1977 - December 12, 1980
GUARDIAN INVESTOR SERVICES LLC
June 18, 1975 - September 27, 1976
PROVIDENT NATIONAL EQUITIES, INC.
January 5, 1971 - June 2, 1975
INTEGRATED RESOURCES EQUITY CORPORATION
July 8, 1970 - February 14, 1971
INTRAVEST SECURITIES INC DBA-I V T SECURITIES I
December 17, 1969 - December 8, 1971
CALIFORNIA-WESTERN STATES LIFE INSURANCE COMPANY
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/1/1969
Registered Representative ExaminationCurrent Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
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.
