AG
Ashley M. Gagne
PLANMEMBER SECURITIES
San Diego, CA 92131
Some features on this profile are disabled
CRD#: 5842861
AG
Professional summary
Ashley Marie Gagne, CFP®, who also goes by Ashley Marie Turner, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in San Diego, California and SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE located in San Diego, California.
Ashley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Ashley has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ashley Marie Turner
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)BSA Financial Network and Insurance Services Inc. DBA Superior Planning Financial Solutions (fka CalPRO Financial Network) -10085 Carroll Canyon Road, Suite 150, San Diego, CA 92131; Investment related; Insurance and securities sales and service; Financial Advisor, CFP; Start date 4/2021; 120 hrs/mnth; 100 hrs/mnth during trading. 2) Ashley Gagne (self employed)-7375 Princeton Ave, La Mesa, CA 91942; Investment related; Insurance sales & svcs; Financial Advisor, CFP; Start date 11/2010; 20 hrs/mnth; 18 hrs/mnth during trading. 3) Superior Planning LLC dba Superior Planning Wealth Management & Family Office (SPWMFO); 10085 Carroll Canyon Rd., Suite 105, San Diego CA 92131; Start date 11/1/2024; Investment Advisor Representative; Registered Investment Advisory Firm; 120 hrs/mo; 80 hrs/mo during trading; IR
CRS (Client Relationship Summary) - RIA
Click below to view Ashley Marie Gagne's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ashley Marie Gagne'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®
CFP®
Start date: 2017
Experience
Current
April 29, 2021 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 10085 Carroll Canyon Road, Suite 150, San Diego, CA 92131RIA
BD
CRD#: 11869
San Diego, CA
Current
December 10, 2024 - Present
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE
Office #1: 10085 Carroll Canyon Road Suite 150, San Diego, CA 92131RIA
CRD#: 130711
SAN DIEGO, CA
Current
April 29, 2021 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 10085 Carroll Canyon Road, Suite 150, San Diego, CA 92131RIA
BD
CRD#: 11869
San Diego, CA
Past
August 22, 2013 - December 2, 2020
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
EL CAJON, CA
Past
September 29, 2010 - December 2, 2020
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
EL CAJON, 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
Arizona(10/7/2024)
RR
California(4/29/2021)
IAR
California(4/29/2021)
RR
Nevada(9/5/2024)
RR
Oregon(12/6/2023)
Exams
State Security Law Exam
State Security Law 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.
