AH
Alexander R. Hugues
PLANMEMBER SECURITIES
San Dimas, CA 91773
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CRD#: 818052
AH
Professional summary
Alexander Richard Hugues, who also goes by Richard Hugues, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in San Dimas, California.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Alexander has worked at 7 firms and has passed the Series 63, Series 65, Series 22TO, Series 6TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Hugues
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. A. R. HUGUEZ & ASSOCIATES-SAN DIMAS, CA; FINANCIAL/INSURANCE SALES & SERVICES; OWNER/SOLE PROPRIETOR; START DATE 1/87; APPROX. 240 HRS/MNTH; 120 HRS/MNTH DURING TRADING; IR. 2. ALEXANDER RICHARD HUGUES DBA A.R. HUGUEZ & ASSOCIATES-SAN DIMAS, CA; OWNER/INDEPENDENT INSURANCE AGENT; START DATE 1/07;120 HRS/MNTH; APPROX 24 HRS/MNTH DURING TRADING; IR.
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Richard Hugues's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alexander Richard Hugues'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
September 13, 2012 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 540 E. Foothill Blvd., Suite 208, San Dimas, CA 91773RIA
BD
CRD#: 11869
San Dimas, CA
Current
September 13, 2012 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 540 E. Foothill Blvd., Suite 208, San Dimas, CA 91773RIA
BD
CRD#: 11869
San Dimas, CA
Past
January 22, 2001 - September 17, 2012
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
SAN DIMAS, CA
Past
February 16, 1993 - September 17, 2012
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
SAN DIMAS, CA
Past
November 7, 1990 - January 7, 1992
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
March 12, 1982 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
February 6, 1976 - September 28, 1989
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
February 6, 1976 - September 28, 1989
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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(4/23/2021)
IAR
California(9/13/2012)
RR
California(10/21/2021)
RR
Kentucky(7/19/2022)
RR
Massachusetts(7/6/2017)
RR
Nevada(2/28/2018)
RR
Ohio(9/13/2012)
RR
Texas(9/26/2023)
IAR
Texas(9/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 2/2/1976
Registered Representative ExaminationSRO 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.
