{"url":"https://nivawealth.com/firms/planmember-securities-11869","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/11869","regulatoryAum":10120552229,"crd":"11869","secFileNumber":"801-39177","legalName":"Planmember Securities Corporation","displayName":"Planmember Securities","website":"http://www.planmember.com","linkedinUrl":"https://www.linkedin.com/company/planmember","founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"6267 Carpinteria Avenue","city":"Carpinteria","state":"CA","stateName":"California","country":"United States","postalCode":"93013"},"tradeNames":[],"registration":{"secApproved":"27 June 1991","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":429,"advisory":425,"brokerDealerReps":425,"insuranceAgents":425,"promoters":291},"aum":{"discretionary":10120552229,"discretionaryAccounts":69645,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":6847265610,"nonUsClientsPct":0,"nonAumClients":125},"clientTypes":[{"label":"Individuals (other than HNW)","clients":68543,"regulatoryAum":7707569105},{"label":"High-net-worth individuals","clients":898,"regulatoryAum":1483845322},{"label":"Pension and profit-sharing plans","clients":126,"regulatoryAum":899953584},{"label":"Charitable organizations","clients":22,"regulatoryAum":7658996},{"label":"Corporations and other businesses","clients":56,"regulatoryAum":21525222}],"fees":[],"feeNotes":[],"custodians":[],"custodyNote":"Planmember Securities has custody of $7.55B for 68,721 clients.","otherCustodians":[],"leadership":[{"name":"Jon Michael Ziehl","title":"President","crd":"707642"},{"name":"Steven R Hanson","title":"Chief Financial Officer / Finops","crd":"4854600"},{"name":"Terrall Joseph Janeway","title":"EVP/Chief Operating Officer","crd":"2947154"},{"name":"Sean Patrick Haley","title":"Chief Compliance Officer","crd":"2837579"},{"name":"Byron Francis Bowman","title":"Chief Legal Officer & Secretary","crd":"2673117"}],"ownership":[{"label":"Planmember Financial Corporation","detail":"Owner in the 75% or more ownership band, since December 1991."},{"label":"Equitable Distribution Holding Corporation","detail":"Indirect owner: a shareholder series e preferred of Planmember Financial Corporation in the 25% to 50% band and a control person, since February 2013.","parent":"Planmember Financial Corporation"},{"label":"Jon Michael Ziehl","detail":"Indirect owner: a president of Planmember Financial Corporation in the 75% or more band and a control person, since September 1984.","parent":"Planmember Financial Corporation"},{"label":"Equitable Holdings Inc.","detail":"Indirect owner: a member of Equitable Financial Services, LLC in the 75% or more band and a control person, since October 2018.","parent":"Equitable Financial Services, LLC"},{"label":"Equitable Financial Services, LLC","detail":"Indirect owner: a shareholder of Equitable Distribution Holding Corporation in the 75% or more band and a control person, since June 2002.","parent":"Equitable Distribution Holding Corporation"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":350,"privateResidences":0},"listedOfficeAddresses":26,"officesByState":[{"state":"Alabama","offices":1,"addresses":[{"street":"1976 Gadsden Hwy","city":"Birmingham"}]},{"state":"Alaska","offices":1,"addresses":[{"street":"2665 E Tudor RD.","city":"Anchorage"}]},{"state":"California","offices":6,"addresses":[{"street":"6267 Carpinteria Avenue","city":"Carpinteria","headquarters":true},{"street":"901 Campisi Way","city":"Campbell"},{"street":"10085 Carroll Canyon Road","city":"San Diego"},{"street":"8456 Manuel RD","city":"Riverside"},{"street":"4520 Wilshire BLVD","city":"Los Angeles"},{"street":"1600 State Street","city":"Santa Barbara"}]},{"state":"Florida","offices":2,"addresses":[{"street":"1052 Willa Springs DR","city":"Winter Springs"},{"street":"2771 Executive Park DR","city":"Weston"}]},{"state":"Hawaii","offices":1,"addresses":[{"street":"95-119 Kamehameha Hwy","city":"Mililani"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"400 E. Diehl Road","city":"Naperville"}]},{"state":"Maryland","offices":1,"addresses":[{"street":"8178 Lark Brown RD","city":"Elkridge"}]},{"state":"Michigan","offices":1,"addresses":[{"street":"3121 Macatawa DR. SW","city":"Grandville"}]},{"state":"Nevada","offices":2,"addresses":[{"street":"1890 Donald ST., Suite C","city":"Reno"},{"street":"375 Stephanie ST.","city":"Henderson"}]},{"state":"New York","offices":2,"addresses":[{"street":"One Bridge Street","city":"Irvington"},{"street":"2410 North Ocean Ave.","city":"Farmingville"}]},{"state":"Texas","offices":3,"addresses":[{"street":"4444 Corona DR.","city":"Corpus Christi"},{"street":"550 Post Oak BLVD","city":"Houston"},{"street":"3513 Spectrum BLVD","city":"Richardson"}]},{"state":"Utah","offices":1,"addresses":[{"street":"610 N. Kays Drive","city":"Kaysville"}]},{"state":"Virginia","offices":1,"addresses":[{"street":"420 W Jubal Early DR","city":"Winchester"}]},{"state":"Washington","offices":3,"addresses":[{"street":"23605 MT. Hwy East","city":"Spanaway"},{"street":"315 39th Avenue SW","city":"Puyallup"},{"street":"667 Grant Road","city":"East Wenatchee"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"805-684-1199","stateRegisteredReps":425,"otherAdviserReps":9,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Commissions"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Educational seminars/workshops","Other"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":99}],"privateFunds":0},"sources":{"adv1FilingDate":"17 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/11869/PDF/11869.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Planmember Securities have?","answer":"Planmember Securities has 69,645 clients and manages $10.1 billion for them, as of September 2026. They include 68,543 other individuals, 898 high-net-worth individuals and 126 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 17 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Planmember Securities offer?","answer":"Planmember Securities provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, educational seminars and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Planmember Securities have?","answer":"Planmember Securities has 425 investment adviser representatives registered with state securities authorities, out of 429 employees, and 425 perform investment advisory functions. 425 are registered representatives of a broker-dealer and 425 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Planmember Securities invest in?","answer":"At the end of its last fiscal year, Planmember Securities’ separately managed accounts held 99% registered funds (mutual funds, ETFs, BDCs), 1% exchange-traded equities, 1% state and local bonds and 1% investment grade corporate bonds. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Planmember Securities?","answer":"Planmember Securities is owned through a chain of holding companies by Jon Michael Ziehl and Equitable Holdings Inc. Its direct owner is Planmember Financial Corporation (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 17 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Planmember Securities get paid?","answer":"Planmember Securities is paid through a percentage of assets under management, hourly charges, fixed fees and commissions. Its Form ADV lists no performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}