Role at Planmember Securities
- Title on Schedule A
- Chief Compliance Officer
- Control
- Sean Haley is not a control person of Planmember Securities.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Sean Haley has held the filed role since March 2019.
The firm
Form ADV filed 17 September 2026
Career on record
Sean Haley has been registered through Planmember Securities since January 2020, and before that through National Planning Corporation ("npc Of America" In Fl & Ny).
- Passed Series 52TO · 2023
- – present · 7 yearsCarpinteria, CA · Adviser representative · Firm CRD 11869
- Passed SIE · 2018
- Passed Series 53 · 2003
- National Planning Corporation ("npc Of America" In Fl & Ny)– · 12 yearsEl Segundo, CA · Adviser representative · Firm CRD 29604
- Passed Series 24 · 2000
- Passed Series 7 and Series 63 · 1997
Registrations and exams
Sean Haley has a current investment-adviser registration in California and has passed 6 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 10 January 2020 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 5 February 1997 |
| Series 53 | Municipal Securities Principal Examination | 21 March 2003 |
| Series 24 | General Securities Principal Examination | 5 September 2000 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 3 February 1997 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Sean Patrick Haley
- CRD
- 2837579
- Registration status
- Investment adviser and broker registrations
- Office
- 6267 Carpinteria Avenue, Carpinteria, CA 93013
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Sean Haley work?
Sean Haley has been Chief Compliance Officer of Planmember Securities Corporation since March 2019.
Is Sean Haley a financial advisor?
Yes. Sean Haley has a current investment-adviser registration in California, through Planmember Securities since January 2020, as of 17 October 2026.
How many years of experience does Sean Haley have?
Sean Haley has worked in the financial industry for 27 years as of 17 October 2026, counted from 8 September 1999, across 2 adviser firms.
What exams has Sean Haley passed?
Sean Haley has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 53, SIE and Series 52TO. The earliest, the Series 7, was passed in February 1997.
Where did Sean Haley work before Planmember Securities?
Before Planmember Securities, Sean Haley was registered through National Planning Corporation ("npc Of America" In Fl & Ny), December 2002 to April 2015.
Where is Sean Haley based?
Sean Haley’s registered office is in Carpinteria, CA.
Leadership at Planmember Securities
- Jon Michael ZiehlPresident
- Steven R HansonChief Financial Officer / Finops
- Terrall Joseph JanewayEVP/Chief Operating Officer
- Byron Francis BowmanChief Legal Officer & Secretary