LE
Lisa M. Evans-dykes
PLANMEMBER SECURITIES
Corpus Christi, TX 78411
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CRD#: 6423304
LE
Professional summary
Lisa Marie Evans-dykes, who also goes by Lisa Marie Evans, Lisa Evans, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Corpus Christi, Texas.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Lisa has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Marie Evans | Lisa Evans
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) ELITE PLUS FINANCIAL & RETIREMENT SERVICES-1550 IH-10 WEST, STE 240, SAN ANTONIO, TX 78230; INVESTMENT RELATED; FINANCIAL/INSURANCE SALES & SVCSS; AGENT; START DATE 7/12; 40 HRS/MNTH & DURING TRADING. 2) LISA EVANS (SELF EMPLOYED)-2222 FAWNFIELD LANE, SAN ANTONIO, TX 78248; INVESTMENT RELATED; INSURANCE SALES & SVCS; OWNER/AGENT; START DATE 7/12; 60 HRS/MNTH; 40 HRS/MNTH DURING TRADING. 3)Lisa's Financial Services, Inc.; 1543 Crescent View San Antonio TX 78258; CEO/Agent; sale of insurance products; Start Date 03/22/2018; 160 hours/mo; 160 hrs/mo during trading; IR
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Marie Evans-dykes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa Marie Evans-dykes'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
June 26, 2020 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 4444 Corona Dr., Ste. 242, Corpus Christi, TX 78411Office #2: 11550 W Interstate 10 Ste 240, San Antonio, TX 78230RIA
BD
CRD#: 11869
Corpus Christi, TX
Current
February 13, 2015 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 4444 Corona Dr., Ste. 242, Corpus Christi, TX 78411Office #2: 11550 W Interstate 10 Ste 240, San Antonio, TX 78230RIA
BD
CRD#: 11869
Corpus Christi, 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
Alaska(11/30/2021)
RR
Arizona(1/3/2025)
RR
California(1/27/2022)
RR
Colorado(1/27/2022)
RR
Connecticut(9/23/2025)
RR
Florida(11/30/2021)
RR
Georgia(8/25/2020)
RR
Hawaii(1/3/2025)
RR
Indiana(1/31/2023)
RR
Kentucky(7/8/2022)
RR
Mississippi(2/14/2022)
RR
Missouri(6/23/2023)
RR
New York(1/31/2024)
RR
North Carolina(1/3/2023)
RR
North Dakota(2/9/2016)
RR
Oklahoma(11/30/2021)
RR
Oregon(5/28/2025)
RR
South Carolina(1/24/2025)
RR
Tennessee(1/3/2025)
RR
Texas(3/7/2015)
IAR
Texas(6/26/2020)
RR
Vermont(7/11/2022)
RR
Virginia(8/25/2020)
RR
Washington(8/25/2020)
Exams
State Security Law Exam
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.
