Robert M. Garner

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CRD#: 871978

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert Michael Garner, who also goes by Mike Garner, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 9 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Garner

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 22, 1989 - August 9, 1989

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

Past

December 11, 1987 - August 1, 1988

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

Past

December 24, 1985 - November 2, 1990

THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY

CRD#: 647

Past

September 30, 1983 - January 25, 1984

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

Past

February 25, 1983 - December 27, 1983

KENNEDY, CABOT & CO.

CRD#: 2417

Past

December 15, 1982 - February 16, 1983

LEHMAN BROTHERS INC.

CRD#: 7506

Past

June 16, 1982 - August 13, 1982

MARSHALL AND MEYER BROKERAGE SERVICES, INC.

CRD#: 7254

Past

November 19, 1981 - May 11, 1982

BOETTCHER & COMPANY, INC.

CRD#: 101

Past

September 9, 1981 - October 12, 1981

FIRST FINANCIAL SECURITIES, INC.

CRD#: 6758

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/2/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/15/1979

General Securities Representative Examination

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PLANMEMBER WRAP FEE PROGRAM ELITE STRATEGIST DECEMBER 2024 (3/31/2025)

PLANMEMBER SCARBOROUGH BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER OPTIFUND BROCHURE 2023 MARCH (3/31/2025)

PLANMEMBER NON-PLATFORM IRA BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER SCHWAB IAR PROGRAM FEBRUARY 2025 (3/31/2025)

PLANMEMBER RETIREMENT INVESTMENT BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER Q8P IAR PROGRAM 2023 MARCH (3/31/2025)

PLANMEMBER WRAP FEE PROGRAM INVESTMENT SAVINGS PLUS (3/31/2025)

PLANMEMBER PREFERENCE AND IAR BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER WORKPLACE ADVISORY PROGRAM 2023 MARCH (3/31/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/21/2022	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Firm Stability Insights

Robert M. Garner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY

METLIFE INVESTORS DISTRIBUTION COMPANY

KENNEDY, CABOT & CO.

LEHMAN BROTHERS INC.

MARSHALL AND MEYER BROKERAGE SERVICES, INC.

BOETTCHER & COMPANY, INC.

FIRST FINANCIAL SECURITIES, INC.

Primary Firm SEC Registration

PLANMEMBER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 10/2/1979

Series 7

Date: 9/15/1979

Current Firm

PLANMEMBER SECURITIES CORPORATION

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PLANMEMBER SECURITIES CORPORATION

TRUST BUT VERIFY

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