DT
Daniel N. Talcott
PLANMEMBER SECURITIES
Bothell, WA
Some features on this profile are disabled
CRD#: 867886
DT
Professional summary
Daniel Neil Talcott, who also goes by Dan Talcott, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Bothell, Washington.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Daniel has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Talcott
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) Daniel Talcott Financial Services-2514 167th Pl SE, Bothell, WA 98012; Investment related; Securities/Insurance Sales & Svcs; Owner-sole proprietorship; Start date 1986; 200 hrs/mnth & during trading. 2) Kennicott-Mt. Blackburn Bed & Breakfast-2514 167th Pl SE, Bothell, WA 98012; Noninvestment related; Bed & breakfast cabin; Co-owner; Start date 6/2012; 2-5 hrs/mnth; 0 hrs/mnth during trading. 3) Daniel Talcott (self employed)-2514 167th Pl SE, Bothell, WA 98012; Noninvestment related; Sports officiating (basketball, softball, baseball); Start date 2004; 125 hrs/mnth; 0 hr/mnth during trading. 4) Daniel Talcott (self employed) - 2514 167th Place SE, Bothell, WA 98012; Investment related; Tax Preparation; Start date 1985; 25-340 hrs/yearly; 0 hrs during trading. 5) Daniel Talcott (self employed) - 2514 167th Place SE, Bothell, WA 98012; Noninvestment related; Trustee for Tony Zak Family Trust - Manage Land & Building; 10 15 hrs/mnth; 0 hrs/mnth during trading. 6)Daniel Talcott (self employed) - 2514 167th Place SE, Bothell, WA 98012; Noninvestment related; Trustee for Blackburn Heritage Foundation-Manage Land & Building.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Neil Talcott's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Neil Talcott'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 17, 2015 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Bothell, WA
Current
September 17, 2015 - Present
PLANMEMBER SECURITIES CORPORATION
RIA
BD
CRD#: 11869
Bothell, WA
Past
March 7, 2003 - September 17, 2015
SIGNATOR FINANCIAL SERVICES, INC.
RIA
CRD#: 19061
BOTHELL, WA
Past
September 5, 2002 - September 17, 2015
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
BOTHELL, WA
Past
March 29, 1999 - September 25, 2002
COLLIER
RIA
CRD#: 113905
BOTHELL, WA
Past
September 16, 1998 - September 16, 2002
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
February 27, 1996 - September 24, 1998
INTERPACIFIC INVESTORS SERVICES, INC.
BD
CRD#: 4879
SEATTLE, WA
Past
November 19, 1989 - March 4, 1996
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
October 22, 1985 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
September 13, 1983 - November 11, 1985
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
August 21, 1979 - September 13, 1983
FOSTER & MARSHALL INC.
BD
CRD#: 321
Past
June 22, 1979 - August 19, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(9/17/2015)
RR
Arizona(1/10/2022)
RR
California(1/15/2019)
RR
Florida(1/10/2022)
RR
Hawaii(8/16/2021)
RR
Idaho(9/17/2015)
RR
Nevada(1/10/2022)
RR
North Carolina(2/26/2024)
RR
North Dakota(8/16/2021)
RR
Oregon(3/31/2021)
RR
Texas(9/17/2015)
RR
Washington(9/17/2015)
IAR
Washington(9/17/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/6/1984
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 15
Date: 6/21/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product 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)
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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.
