Denise A. Farmer-lightcap
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.
Denise A. Farmer-lightcap, CFP®, who also goes by Denise Ann Farmerlightcap, Denise Ann Farmer, Denise Farmer-lightcap, Denise Lightcap, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1979. Denise had worked at 8 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2018 - December 20, 2019
PLANMEMBER SECURITIES CORPORATION
March 21, 2018 - December 20, 2019
PLANMEMBER SECURITIES CORPORATION
January 3, 2017 - March 20, 2018
LINCOLN INVESTMENT
December 4, 2002 - March 20, 2018
LEGEND ADVISORY, LLC
October 18, 2002 - January 3, 2017
LEGEND EQUITIES CORPORATION
March 2, 2001 - October 8, 2002
PLANMEMBER SECURITIES CORPORATION
October 15, 1993 - November 2, 2000
VOYA FINANCIAL PARTNERS, LLC
February 11, 1985 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
December 29, 1980 - January 22, 1985
THE GREAT-WEST LIFE ASSURANCE COMPANY
October 16, 1979 - December 1, 1980
GODWINS SECURITIES, INC.
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 10/9/1979
Registered Representative ExaminationCurrent Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
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.
