Don C. Bradford
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.
Don Columbus Bradford JR, who also goes by Don C Bradford Jr, was a registered financial professional .
Don is a previously registered financial professional and started their career in finance in 1975. Don had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 2 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, 2005 - March 3, 2015
PLANMEMBER SECURITIES CORPORATION
February 8, 2005 - March 3, 2015
PLANMEMBER SECURITIES CORPORATION
October 25, 2001 - January 28, 2005
PMG ASSET MANAGEMENT INC
January 2, 2001 - January 28, 2005
PMG SECURITIES CORPORATION
May 3, 1996 - December 31, 2000
VOYA FINANCIAL ADVISORS, INC.
June 19, 1983 - December 13, 1988
AETNA LIFE INSURANCE AND ANNUITY COMPANY
February 16, 1977 - July 24, 1977
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
November 17, 1975 - October 16, 1977
HIMCO DISTRIBUTION SERVICES COMPANY
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
Series 2
Date: 2/11/1975
Non-Member General Securities ExaminationCurrent 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.
