AC
Aaron L. Cruz
PLANMEMBER SECURITIES
Sheridan, WY
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CRD#: 5950067
AC
Professional summary
Aaron L. Cruz, who also goes by Aaron Lee Cruz, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Sheridan, Wyoming.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Aaron has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Aaron Lee Cruz
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) Tactical Financial Solutions-1509 Cedar Ave., Sheridan, WY 82801; Investment related; Securities & insurance sales & svcs; Owner & Producer; Start date 1/2011; 160 hrs/mnth; 120 hrs/mnth during trading. 2) Cruzn Enterprises LLC-1509 Cedar Ave., Sheridan, WY 82801; Investment related; Pass through income corporation for banking & taxes; Owner; Start date 1/2011; 5 hrs/mnth & during trading. 3) Aaron Cruz (self employed)-1509 Cedar Ave., Sheridan, WY 82801; Investment related; Fixed insurance & annuity sales & svcs; Owner/Producer; Start date 1/2011; 15 hrs/mnth & during trading; 4) Unbroken, LLC-1509 Cedar Ave., Sheridan, WY 82801; Investment related; Financial education-provide general financial education to people going through drug & alcohol rehabilitation in sessions held & paid for by Volunteers of America; Owner/Educator; Start date 1/2018; 10 hrs/mnth; 5 hrs/mnth during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Aaron L. Cruz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Aaron L. Cruz'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 26, 2024 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Sheridan, WY
Current
February 26, 2024 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Sheridan, WY
Past
September 16, 2019 - February 28, 2024
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
Sheridan, WY
Past
September 16, 2019 - February 28, 2024
IFP SECURITIES, LLC
BD
CRD#: 297287
Sheridan, WY
Past
October 31, 2017 - September 17, 2019
CETERA ADVISORS LLC
RIA
CRD#: 10299
SHERIDAN, WY
Past
August 11, 2017 - October 4, 2017
CETERA ADVISORS LLC
RIA
CRD#: 10299
SHERIDAN, WY
Past
August 10, 2017 - September 17, 2019
CETERA ADVISORS LLC
BD
CRD#: 10299
SHERIDAN, WY
Past
January 9, 2015 - August 15, 2017
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SHERIDAN, WY
Past
December 7, 2011 - August 15, 2017
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SHERIDAN, WY
Past
October 3, 2011 - November 23, 2011
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
COLORADO SPRINGS, CO
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
Arkansas(2/26/2024)
RR
California(3/8/2024)
RR
Colorado(2/26/2024)
RR
Idaho(2/26/2024)
RR
Kansas(2/26/2024)
RR
Montana(2/26/2024)
RR
Nebraska(2/26/2024)
RR
North Dakota(2/26/2024)
RR
Oklahoma(2/26/2024)
RR
South Carolina(2/26/2024)
RR
South Dakota(2/26/2024)
RR
Utah(11/26/2024)
RR
Wyoming(2/26/2024)
IAR
Wyoming(2/26/2024)
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.
