Wesley M. Gorospe

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CRD#: 703333

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Wesley Michael Gorospe was a registered financial professional .

Wesley is a previously registered financial professional and started their career in finance in 1980. Wesley had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) Mindful Wealth Planners-1583 Spinnaker Drive, Suite 212, Ventura, CA 93001; Investment related; Securities & insurance sales & svcs; Representative/Agent; Start date 10/2024; 150 hrs/mnth & during trading. 2) Wes Gorospe (self-employed)- 2685 Pheasant Hill Rd, Camarillo, CA 93010; Investment related; Fixed insurance & fixed annuities sales & svcs; Agent; Start date 2/1987; 10 hrs/mnth & during trading; 3) Gorospe Capital Enterprises-2685 Pheasant Hill Rd., Camarillo, CA 93010; Noninvestment related; Bank account name for Wes Gorospe; Owner of dba; Start date 1999; 1 hr/mnth; 0 hrs/mnth during trading. 4) Wes Michael Music/Songs of Scripture-2685 Pheasant Hill Rd., Camarillo, CA 93010; Noninvestment related; Write, record & perform original music; Owner; Start date 1996; 20 hrs/mnth; 0 hrs/mnth during trading.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 9, 2024 - August 4, 2025

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Ventura, CA

Past

October 9, 2024 - August 4, 2025

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

Ventura, CA

Past

May 1, 2024 - October 18, 2024

LPL FINANCIAL LLC

CRD#: 6413

CAMARILLO, CA

Past

August 27, 2014 - December 31, 2019

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

CAMARILLO, CA

Past

January 9, 2008 - May 1, 2024

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

CAMARILLO, CA

Past

October 22, 2003 - November 26, 2003

LPL FINANCIAL LLC

RIA

CRD#: 6413

CAMARILLO, CA

Past

October 22, 2003 - January 15, 2008

LPL FINANCIAL LLC

CRD#: 6413

CAMARILLO, CA

Past

December 17, 1999 - October 27, 2003

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

CAMARILLO, CA

Past

June 24, 1999 - October 27, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

January 1, 1999 - July 2, 1999

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

September 18, 1990 - January 1, 1999

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

January 3, 1989 - September 18, 1990

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

June 21, 1988 - January 1, 1989

ALLIANCE ADVISORY & SECURITIES, INC.

CRD#: 18835

Past

May 5, 1988 - August 10, 1988

ASSOCIATED SECURITIES CORP.

CRD#: 12969

Past

July 20, 1984 - May 17, 1988

SUTRO & CO. INCORPORATED

CRD#: 801

Past

January 18, 1980 - July 30, 1984

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/21/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/24/1999

General Securities Principal Examination

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PLANMEMBER WRAP FEE PROGRAM ELITE STRATEGIST DECEMBER 2024 (3/31/2025)

PLANMEMBER SCARBOROUGH BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER OPTIFUND BROCHURE 2023 MARCH (3/31/2025)

PLANMEMBER NON-PLATFORM IRA BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER SCHWAB IAR PROGRAM FEBRUARY 2025 (3/31/2025)

PLANMEMBER RETIREMENT INVESTMENT BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER Q8P IAR PROGRAM 2023 MARCH (3/31/2025)

PLANMEMBER WRAP FEE PROGRAM INVESTMENT SAVINGS PLUS (3/31/2025)

PLANMEMBER PREFERENCE AND IAR BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER WORKPLACE ADVISORY PROGRAM 2023 MARCH (3/31/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/21/2022	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Wesley M. Gorospe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PLANMEMBER SECURITIES CORPORATION

LPL FINANCIAL LLC

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

WAMU INVESTMENTS, INC.

GRIFFIN FINANCIAL SERVICES

CAPITAL BROKERAGE CORPORATION

ALLIANCE ADVISORY & SECURITIES, INC.

ASSOCIATED SECURITIES CORP.

SUTRO & CO. INCORPORATED

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

Primary Firm SEC Registration

PLANMEMBER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 5/21/1981

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1979

Series 24

Date: 9/24/1999

Current Firm

PLANMEMBER SECURITIES CORPORATION

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PLANMEMBER SECURITIES CORPORATION

TRUST BUT VERIFY

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