RM
Robert J. Malek
PLANMEMBER SECURITIES
Chicago, IL 60646
Some features on this profile are disabled
CRD#: 868721
RM
Professional summary
Robert Joseph Malek, who also goes by Robert Joseph Malek, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Chicago, Illinois.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Robert has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6, Series 22 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Joseph Malek
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)Malek Wealth Advisors-5901 N. Cicero Ave, Suite 507, Chicago IL 60646; Investment related; DBA for securities & insurance sales & svcs; Financial Advisor; Start date 4/2007; 160 hrs/mnth; 140 hrs/mnth during trading. 2) Robert Malek Insurance-5901 N. Cicero Ave, Suite 507, Chicago IL 60646; Investment related; Insurance & fixed annuity sales & svcs; Insurance Broker; Start date 2/1979; 4 hrs/mnth; 0 hrs/mnth during trading. 3) Priority Retirement Solutions, Inc.-5901 N. Cicero Ave, Suite 507, Chicago IL 60646; Noninvestment related; Banking & tax entity, Recordkeeping, payroll & benefits for financial advisor (Robert Malek); President; Start date 4/2007; 4 hrs/mnth; 0 hrs/mnth during trading. 4)Prosperity Wealth Advisors; 5901 N Cicero Ave, Suite 507, Chicago IL 60646; Start Date 05/28/2025; Financial Advisor; Insurance and securities sales and service; 20 hrs/mo; 20 hrs/mo during trading; IR
CRS (Client Relationship Summary) - RIA
Click below to view Robert Joseph Malek's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Joseph Malek'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
July 29, 2024 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 5901 N. Cicero Ave, Suite 507, Chicago, IL 60646RIA
BD
CRD#: 11869
Chicago, IL
Current
July 29, 2024 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 5901 N. Cicero Ave, Suite 507, Chicago, IL 60646RIA
BD
CRD#: 11869
Chicago, IL
Past
September 23, 2013 - August 1, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Crown Point, IN
Past
July 2, 2012 - September 23, 2013
LAWING FINANCIAL INC
RIA
CRD#: 117178
PRINCETON, IL
Past
May 18, 2012 - August 1, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Crown Point, IN
Past
January 4, 2006 - May 22, 2012
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
PRINCETON, IL
Past
February 13, 2004 - May 22, 2012
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
PRINCETON, IL
Past
October 28, 2002 - January 30, 2004
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BOSTON, MA
Past
July 2, 1986 - October 28, 2002
DREHER & ASSOCIATES, INC.
BD
CRD#: 8665
OAKBROOK TERRACE, IL
Past
August 15, 1985 - July 11, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
November 22, 1983 - April 8, 1985
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
May 27, 1983 - November 7, 1984
ELWYN, WILLBERT & HAIG INC.
BD
CRD#: 8500
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(7/29/2024)
RR
California(7/29/2024)
RR
Florida(7/30/2024)
RR
Georgia(7/29/2024)
RR
Illinois(7/29/2024)
RR
Indiana(7/29/2024)
IAR
Indiana(7/29/2024)
RR
Iowa(7/29/2024)
RR
Washington(7/29/2024)
RR
Wisconsin(7/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 6/12/2013
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/16/1979
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.
