SH
Stephen J. Hufford
PLANMEMBER SECURITIES
ANCHORAGE, AK 99507
Some features on this profile are disabled
CRD#: 829928
SH
Professional summary
Stephen Jeffrey Hufford, who also goes by Steve J Hufford, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Anchorage, Alaska.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve J Hufford
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)STEVE HUFFORD; SELF-EMPLOYED; 2665 E Tudor Rd., Suite 202, Anchorage, AK 99507;MAINTAIN APPOINTMENTS 10/1975(AS AN AGENT) AND AFFILIATIONS WITH TRADITIONAL INSURANCE COMPANIES TO OFFER MY CLIENTS FIXED ANNUITIES; WORK LESS THAN 2 HOURS/WEEK DURING MARKET HOURS IR. 2)STEPHEN HUFFORD. 2665 E Tudor Rd., Suite 202, Anchorage, AK 99507 ;START DATE: 11/1/2012; RENTAL OF OUR SECOND HOME;OWNER ; NUM OF HRS/MTH DEVOTED TO THIS BUS:0; NUM OF HRS/MTH DEVOTED TO THIS BUS. DURING TRADING HRS:0 IR 3)VISION ; START DATE: 12/14/2012;2020 PO BOX 501;BRINNON, WA 98320;BOARD MEMBER;R501C3 CORP ASSISTING DEVELOPING COUNTRIES IN VARIOUS COMMUNITY PROJECTS;NUM OF HRS/MTH DEVOTED TO THIS BUSINESS:2 NUM OF HRS/MTH DEVOTED TO THIS BUS. DURING TRADING HOURS 0:NIR 4) Veritas Wealth Management; 2665 E Tudor Rd., Suite 202, Anchorage, AK 99507; Title: Agent; Start Date: 7/1/2015; Nature of Bus: Investments, Securities, and insurance; IR; Approx. Number of Hrs./Mos. Devoted to this Bus: 80; Approx. Number of Hrs./Mos. Devoted to this Bus during trading hrs.: 80
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Jeffrey Hufford's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Jeffrey Hufford'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
April 12, 2005 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2665 E Tudor Rd., Suite 202, Anchorage, AK 99507RIA
BD
CRD#: 11869
ANCHORAGE, AK
Current
April 12, 2005 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 2665 E Tudor Rd., Suite 202, Anchorage, AK 99507RIA
BD
CRD#: 11869
ANCHORAGE, AK
Past
January 10, 1991 - April 13, 2005
DOMINION INVESTOR SERVICES, INC.
BD
CRD#: 21548
MARBLE FALLS, TX
Past
March 13, 1989 - December 31, 1990
T.L. REED SECURITIES, INC.
BD
CRD#: 19875
Past
April 4, 1984 - January 31, 1989
SOURCE SECURITIES, INC.
BD
CRD#: 8026
Past
April 23, 1982 - March 10, 1984
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
Past
November 24, 1976 - March 31, 1982
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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
Alaska(4/12/2005)
IAR
Alaska(4/12/2005)
RR
California(4/12/2005)
RR
Colorado(11/18/2020)
RR
Massachusetts(1/2/2013)
RR
Minnesota(1/5/2006)
RR
Ohio(8/20/2025)
RR
Oregon(4/12/2005)
RR
South Carolina(11/18/2020)
RR
Texas(11/18/2020)
IAR
Texas(11/18/2020)
RR
Washington(4/12/2005)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/9/1976
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.
Company Information
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869Anchorage, AK 99507TRUST BUT VERIFY
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Contact information
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