JG
James B. Garner
PLANMEMBER SECURITIES | Financial Consultant
Pacifica, CA
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CRD#: 5635328
JG
Professional summary
James Bryan Garner is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Pacifica, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. James has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, Series 7TO, SIE and Series 6 exams.
Biography
My role as a financial consultant is to help clients identify their goals to create a better financial future.
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) Edgewater Insurance Solutions LLC-11 Humboldt Ct., Pacifica, CA 94044; Investment related; Securites & Insurance (fixed) sales & svcs; Owner/CEO; Start date 6/2014; 1o0 hrs/mnth; 80 hrs/mnth during trading. 2) California Law Enforcement Association-255 Scottsville Blvd., Jackson, CA 95642; Noninvestment related; Sales & service of a long-term disability plan through benefit association; Field Service Manager; Start date 2/2022; 10 hrs/mnth; 5 hrs/mnth during trading. 3) National Peace Officers and Fire Fighters Benefit Association (NPFBA)-255 Scottsville Blvd., Jackson, CA 95642; Noninvestment related; Sales & service of a long-term disability plan through benefit association; Field Service Manager; Start date 2/2022; 10 hrs/mnth; 5 hrs/mnth during trading. 4) California Association of Professional Firefighters (CAPF)-255 Scottsville Blvd., Jackson, CA 95642; Noninvestment related; Sales & service of a long-term disability plan through benefit association; Field Service Manager; Start date 2/2022; 10 hrs/mnth; 5 hrs/mnth during trading.
CRS (Client Relationship Summary) - RIA
Click below to view James Bryan Garner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Bryan Garner'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®
NoneEducation
Illinois State University
Bachelor of Science (BS) - Criminal Science
2006
Lakeland College
Associate of Arts - Criminal Science & Psychology
2004
Experience
Current
November 22, 2024 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Pacifica, CA
Current
November 22, 2024 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Pacifica, CA
Past
October 14, 2022 - February 2, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
SAN FRANCISCO, CA
Past
October 12, 2022 - January 27, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SAN FRANCISCO, CA
Past
February 10, 2020 - January 4, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Foster City, CA
Past
January 13, 2020 - January 4, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Foster City, CA
Past
January 2, 2013 - January 24, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Daly City, CA
Past
January 2, 2013 - January 24, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Daly City, CA
Past
July 27, 2012 - January 4, 2013
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SAN FRANCISCO, CA
Past
March 3, 2011 - January 4, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SAN FRANCISCO, CA
Past
April 20, 2010 - February 11, 2011
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SAN JOSE, CA
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(11/22/2024)
IAR
California(11/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/27/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 2/25/2020
General Securities Representative ExaminationGeneral 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
Financial ConsultantCRD#: 11869Pacifica, CATRUST BUT VERIFY
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Contact information
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