CC
Carol Cory
SURETY INVESTMENT SERVICES
LOS ANGELES, CA 90010
Some features on this profile are disabled
CRD#: 864012
CC
Professional summary
Carol Cory, CFP®, who also goes by Carol Fondevila, is a registered financial advisor currently at SURETY INVESTMENT SERVICES located in Los Angeles, California and PLANMEMBER SECURITIES CORPORATION located in Los Angeles, California.
Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Carol has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Investment Planning
Comprehensive Financial Planni...
Are you a "fiduciary"?
Yes
Aliases
Carol Fondevila
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.
CAROL CORY IS SECRETARY-TREASURER AND CO-OWNER OF SURETY INVESTMENT SERVICES; 4520 WILSHIRE BLVD., SUITE 201, LOS ANGELES, CA 90010; INVESTMENT RELATED; STARTED 5/1982; 120-200 HRS/MONTH; 90-120 HRS DURING TRADING HRS; FINANCIAL PLANNING; SECURITIES & INSURANCE; REGISTERED INVESTMENT ADVISOR THROUGH WHICH INVESTMENT ADVISORY ACTIVITIES ARE CONDUCTED; LOS ANGELES, CA; AS OF 02/1998 REGISTERED REPRESENTATIVE OF PLANMEMBER SECURITIES CORP., A REGISTERED BROKER/DEALER; START 4/2011; REAL ESTATE LICENSE TO BUY AND SELL PROPERTY FOR PERSONAL USE; COMMISSIONS; 05 HRS/MONTH; IR
CRS (Client Relationship Summary) - RIA
Click below to view Carol Cory's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carol Cory'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®
CFP®
Start date: 1984
Experience
Current
February 26, 1997 - Present
SURETY INVESTMENT SERVICES
Office #1: 4520 Wilshire Blvd., Suite 201, Los Angeles, CA 90010RIA
CRD#: 135295
LOS ANGELES, CA
Current
July 31, 2001 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 4520 Wilshire Blvd, Suite 201, Los Angeles, CA 90010RIA
BD
CRD#: 11869
Los Angeles, CA
Current
February 6, 1998 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 4520 Wilshire Blvd, Suite 201, Los Angeles, CA 90010RIA
BD
CRD#: 11869
Los Angeles, CA
Past
January 4, 1991 - February 18, 1998
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
February 29, 1984 - October 16, 1990
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
Past
February 28, 1984 - October 16, 1990
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
September 9, 1982 - April 2, 1984
LPL FINANCIAL LLC
BD
CRD#: 6413
Past
March 28, 1979 - August 23, 1982
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
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(8/24/2004)
IAR
California(2/26/1997)
RR
California(2/6/1998)
RR
Colorado(1/2/2013)
RR
Nevada(1/2/2014)
RR
New Mexico(1/3/2005)
RR
Oregon(12/3/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/19/1979
Registered Representative ExaminationPrincipal/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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
