SB
Steven M. Bresler
PLANMEMBER SECURITIES
Irvington, NY 10533
Some features on this profile are disabled
CRD#: 853343
SB
Professional summary
Steven M. Bresler, who also goes by Steve Bresler, Steven Michael Bresler, Steven Bresler, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Irvington, New York.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Steven has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7, Series 1, Series 26 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Bresler | Steven Michael Bresler | Steven Bresler
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Steven M. Bresler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven M. Bresler'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 29, 2020 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: One Bridge Street, Suite 70, Irvington, NY 10533RIA
BD
CRD#: 11869
Irvington, NY
Current
May 11, 2020 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: One Bridge Street, Suite 70, Irvington, NY 10533RIA
BD
CRD#: 11869
Irvington, NY
Past
April 24, 2017 - May 3, 2018
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
GREENWOOD VILLAGE, CO
Past
November 30, 2011 - May 3, 2018
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
May 4, 2011 - June 15, 2011
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
BD
CRD#: 37819
HARTFORD, CT
Past
March 24, 2004 - April 30, 2008
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
WALNUT CREEK, CA
Past
June 7, 2002 - March 22, 2004
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
November 18, 1998 - September 25, 2000
AETNA FINANCIAL SERVICES, INC.
BD
CRD#: 13255
HARTFORD, CT
Past
November 18, 1998 - March 26, 2002
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
June 19, 1978 - June 2, 1998
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
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(8/23/2021)
RR
Arizona(4/22/2021)
RR
Arkansas(8/19/2021)
RR
California(5/14/2020)
IAR
Colorado(4/29/2020)
RR
Colorado(4/20/2021)
RR
Hawaii(8/19/2021)
RR
Idaho(4/21/2021)
RR
Iowa(8/19/2021)
RR
Kansas(8/20/2021)
RR
Louisiana(4/21/2021)
RR
Minnesota(8/19/2021)
RR
Missouri(8/19/2021)
RR
Montana(8/19/2021)
RR
Nebraska(8/19/2021)
RR
Nevada(8/16/2021)
RR
New Mexico(8/19/2021)
RR
North Dakota(8/23/2021)
RR
Oklahoma(8/19/2021)
RR
Oregon(8/19/2021)
RR
South Dakota(9/2/2021)
RR
Texas(8/26/2021)
RR
Utah(8/19/2021)
RR
Washington(8/23/2021)
RR
Wyoming(8/20/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/9/1978
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory 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)
PREMIUM
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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 |
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.
