SE
Scott A. Ellsworth
PLANMEMBER SECURITIES
Gilbert, AZ
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CRD#: 5708329
SE
Professional summary
Scott Andrew Ellsworth, who also goes by Scott Ellsworth, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Gilbert, Arizona.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Scott has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Ellsworth
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) Williams & Co dba Williams and Company Financial Services - 3551 E Geronimo Court, Gilbert AZ 85295; Investment related; Financial Sales & Svcs; Representative; Start date 2/16; 120 hrs/mnth & during trading. 2)One2One Wealth Strategies - 3551 E Geronimo Court, Gilbert AZ 85295; Start date 01/15/2021; Financial Advisor; Financial Sales and Service; 120 hrs/mo; 90 hrs/mo during trading; IR
CRS (Client Relationship Summary) - RIA
Click below to view Scott Andrew Ellsworth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Andrew Ellsworth'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
February 22, 2016 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Gilbert, AZ
Current
February 22, 2016 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Gilbert, AZ
Past
November 11, 2014 - March 2, 2016
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
ROUND ROCK, TX
Past
November 3, 2014 - March 2, 2016
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
Round Rock, TX
Past
January 22, 2010 - November 11, 2014
NEW ENGLAND SECURITIES
RIA
CRD#: 615
ROUND ROCK, TX
Past
October 27, 2009 - November 11, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
ROUND ROCK, TX
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
Alabama(10/26/2022)
RR
Arizona(6/14/2018)
IAR
Arizona(12/10/2019)
RR
California(11/14/2019)
RR
Colorado(1/20/2023)
RR
Florida(1/20/2023)
RR
Illinois(1/20/2023)
RR
Louisiana(6/7/2017)
RR
Maryland(1/20/2023)
RR
Nevada(12/2/2022)
RR
North Carolina(2/23/2016)
RR
North Dakota(1/20/2023)
RR
Texas(2/22/2016)
IAR
Texas(2/22/2016)
RR
Utah(1/20/2023)
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.
