JI
John T. Italiano
PLANMEMBER SECURITIES
Irvington, NY 10533
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CRD#: 5737115
JI
Professional summary
John T Italiano, who also goes by John T Italiano, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Irvington, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. John has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John T Italiano
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) John Italiano-914 Park Ave., Apt. 1, Hoboken, NJ 07030; Noninvestment related; E-Bay seller - collect coins as a hobby and sell unwanted ones on Ebay; Start date 6/2002; 0.5 hrs/mnth; 0 hrs/mnth during trading.
CRS (Client Relationship Summary) - RIA
Click below to view John T Italiano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John T Italiano'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
October 11, 2022 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: One Bridge Street, Suite 70, Irvington, NY 10533RIA
BD
CRD#: 11869
Irvington, NY
Current
October 11, 2022 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: One Bridge Street, Suite 70, Irvington, NY 10533RIA
BD
CRD#: 11869
Irvington, NY
Past
November 4, 2021 - September 29, 2022
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
MOUNT LAUREL, NJ
Past
November 3, 2021 - September 29, 2022
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
MOUNT LAUREL, NJ
Past
June 1, 2021 - June 28, 2021
CAPFINANCIAL SECURITIES, LLC.
BD
CRD#: 126291
New York, NY
Past
February 26, 2021 - June 28, 2021
CAPTRUST
RIA
CRD#: 175112
New York, NY
Past
March 19, 2018 - May 18, 2021
CAMMACK RETIREMENT GROUP
RIA
CRD#: 140614
NEW YORK, NY
Past
March 14, 2018 - July 7, 2021
CAMMACK LARHETTE BROKERAGE, INC.
BD
CRD#: 109906
NEW YORK, NY
Past
August 17, 2016 - February 14, 2018
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
NEW YORK, NY
Past
August 8, 2016 - February 14, 2018
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
March 13, 2013 - August 17, 2016
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BOSTON, MA
Past
December 6, 2010 - March 11, 2013
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
December 14, 2009 - December 6, 2010
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MARLTON, NJ
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(10/19/2022)
RR
California(10/17/2022)
RR
Delaware(2/23/2023)
RR
Florida(10/17/2022)
RR
Georgia(9/11/2024)
RR
Maine(10/17/2022)
RR
Maryland(10/17/2022)
RR
Massachusetts(10/17/2022)
RR
New Hampshire(10/17/2022)
RR
New Jersey(10/11/2022)
IAR
New Jersey(10/11/2022)
RR
New York(10/11/2022)
RR
North Carolina(10/17/2022)
RR
Ohio(10/18/2022)
RR
Oregon(2/23/2023)
RR
Pennsylvania(10/17/2022)
RR
South Carolina(10/17/2022)
RR
Vermont(10/17/2022)
RR
Virginia(2/23/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
