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Alexander G. Dudley
PLANMEMBER SECURITIES
Farmingville, NY 11738
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CRD#: 7510805
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Professional summary
Alexander George Dudley, who also goes by Alex Dudley, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Farmingville, New York.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Alexander has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alex Dudley
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) Mutual Inc. / Daybright Financial -2410 North Ocean Ave., Ste 401, Farmingville, NY 11738; Investment related; Investment svcs, securities & insurance sales & svcs ; Start date 1/2023; 160 hrs/mnth; 140-160 hrs/mnth during trading. 2) Alexander Dudley (self employed)-232 Lenox Avenue, Uniondale, NY 11553; Investment related; Insurance (life, accident, health) sales & svcs; Insurance Agent; Start date 4/2022; 15-20 hrs/mnth & during trading. 3) Alexander Dudley (self employed)-232 Lenox Avenue, Uniondale, NY 11553; Noninvestment related; Notary Services; Notary Public; Start date 5/2022; 1-5 hrs/mnth & during trading. 4) Royal Sporting Group-285 N. Country Rd, Miller Place, NY 11749; noninvestment related; Soccer coaching; Soccer Coach; Start date 9/2021; 12 hrs/mnth; 0 hrs/mnth during trading. (5) MUTUAL, INC. DBA JTEAM; 2410 North Ocean Avenue STE 401, Farmingville NY 11738; START DATE: 06/21/2023; Financial Advisor; Insurance and Securities sales and service under the JTeam name; NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140; IR
CRS (Client Relationship Summary) - RIA
Click below to view Alexander George Dudley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alexander George Dudley'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
October 11, 2022 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2410 North Ocean Avenue, Suite 401, Farmingville, NY 11738RIA
BD
CRD#: 11869
Farmingville, NY
Current
July 8, 2022 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2410 North Ocean Avenue, Suite 401, Farmingville, NY 11738RIA
BD
CRD#: 11869
Farmingville, NY
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(3/26/2024)
RR
Connecticut(1/18/2023)
RR
Florida(2/16/2024)
RR
Illinois(10/25/2024)
RR
Massachusetts(7/30/2024)
RR
Michigan(2/22/2023)
RR
New Jersey(2/16/2024)
RR
New York(10/11/2022)
IAR
New York(10/11/2022)
RR
Ohio(1/9/2023)
RR
Pennsylvania(2/9/2024)
RR
South Carolina(2/16/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/7/2022
General Securities Representative ExaminationGeneral 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.
Company Information
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869Farmingville, NY 11738TRUST BUT VERIFY
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