Nelson B. Trichler
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.
Nelson Bruce Trichler was a registered financial professional .
Nelson is a previously registered financial professional and started their career in finance in 1981. Nelson had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2016 - December 31, 2020
PLANMEMBER SECURITIES CORPORATION
February 8, 2016 - December 31, 2020
PLANMEMBER SECURITIES CORPORATION
April 30, 2010 - February 9, 2016
INDEPENDENT FINANCIAL GROUP, LLC
April 30, 2010 - February 9, 2016
INDEPENDENT FINANCIAL GROUP, LLC
April 6, 2004 - April 29, 2010
AFA FINANCIAL GROUP, LLC
March 2, 2004 - April 29, 2010
AFA ADVISOR SERVICES LLC
November 30, 1998 - January 6, 2004
SENTRA SECURITIES CORPORATION
November 16, 1998 - January 6, 2004
SENTRA SECURITIES CORPORATION
June 23, 1992 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
November 7, 1989 - June 10, 1992
TITAN/VALUE EQUITIES GROUP, INC.
February 22, 1985 - November 7, 1989
VALUE EQUITIES CORPORATION
May 3, 1983 - February 25, 1985
ASSOCIATED SECURITIES CORP.
April 20, 1981 - May 12, 1983
LPL FINANCIAL LLC
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
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.
