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JD

Jau-chi Dai

PLANMEMBER SECURITIES
Carpinteria, CA 93013
Some features on this profile are disabled
CRD#: 5649906
JD

Professional summary

Jau-chi Dai, who also goes by Jake Dai, is a registered financial professional currently at PLANMEMBER SECURITIES CORPORATION located in Carpinteria, California.

Jau-chi is registered as a RR (Registered Representative) and started their career in finance in 2011. Jau-chi has worked at 14 firms and has passed the SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jake Dai

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jau-chi Dai's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 17, 2018 - Present

PLANMEMBER SECURITIES CORPORATION

Office #1: 6187 Carpinteria Ave, Carpinteria, CA 93013
RIA
BD
CRD#: 11869
Carpinteria, CA
Past

December 20, 2016 - January 2, 2018

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
El Segundo, CA
Past

March 24, 2015 - November 9, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
el segundo, CA
Past

March 24, 2015 - December 6, 2016

GIRARD SECURITIES, INC.

BD
CRD#: 18697
EL SEGUNDO, CA
Past

October 29, 2014 - November 10, 2014

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
NEW YORK CITY, NY
Past

October 29, 2014 - December 23, 2015

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
El Segundo, CA
Past

October 29, 2014 - November 9, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
EL SEGUNDO, CA
Past

October 29, 2014 - December 6, 2016

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
EL SEGUNDO, CA
Past

October 29, 2014 - December 6, 2016

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
El Segundo, CA
Past

October 29, 2014 - December 6, 2016

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
El Segundo, CA
Past

August 10, 2012 - December 6, 2016

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
EL SEGUNDO, CA
Past

July 11, 2011 - December 6, 2016

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
EL SEGUNDO, CA
Past

July 11, 2011 - December 6, 2016

CETERA ADVISORS LLC

BD
CRD#: 10299
EL SEGUNDO, CA
Past

July 11, 2011 - December 6, 2016

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/8/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/1/2011
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PLANMEMBER WRAP FEE PROGRAM ELITE STRATEGIST DECEMBER 2024 (3/31/2025)
PLANMEMBER SCARBOROUGH BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER OPTIFUND BROCHURE 2023 MARCH (3/31/2025)
PLANMEMBER NON-PLATFORM IRA BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER SCHWAB IAR PROGRAM FEBRUARY 2025 (3/31/2025)
PLANMEMBER RETIREMENT INVESTMENT BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER Q8P IAR PROGRAM 2023 MARCH (3/31/2025)
PLANMEMBER WRAP FEE PROGRAM INVESTMENT SAVINGS PLUS (3/31/2025)
PLANMEMBER PREFERENCE AND IAR BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER WORKPLACE ADVISORY PROGRAM 2023 MARCH (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
PLANMEMBER FINANCIAL CORPORATIONOWNER
BOWMAN, BYRON FRANCISCHIEF LEGAL OFFICER & SECRETARY2673117
HALEY, SEAN PATRICKCHIEF COMPLIANCE OFFICER2837579
HANSON, STEVEN RCHIEF FINANCIAL OFFICER / FINOPS4854600
JANEWAY, TERRALL JOSEPHEVP/CHIEF OPERATING OFFICER2947154
ZIEHL, JON MICHAELPRESIDENT707642

Regulatory assets under management

Total Number of Accounts68,978
AUM (Assets Under Management)$ 9,035,509,268

Disclosures

Regulatory Event5

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/21/2022
Cover Page
Report
12/21/2022
Cover Page
Report

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#: 11869Carpinteria, CA 93013

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