CRD #11869 · FINRA BrokerCheck + SEC IAPD

Planmember Securities Corporation

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Planmember Securities Corporation ranks #1,517 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #21 of 279 on the same disclosure sort used on the state browse page. Planmember Securities Corporation carries 5 BrokerCheck disclosures across 303 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
303
branch offices
5
disclosures
#1,517 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 11869 Planmember Securities Corporation

Planmember Securities Corporation · Grade B · 5 disc · 0.02/office · Large firm

  • CRD 11869
  • GRADE B
  • DISC 5
  • REG 5
  • ARB 0
  • CIV 0
  • BRANCH 303
  • PER-OFF 0.02
  • RANK #1,517 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Federated Securities Corp. (0.02 disc/office)

Federated Securities Corp.0.02Harbour Investments, Inc.0.02Emerson Equity LLC0.02Planmember Securiti… (this)0.02
Disclosures per office among large firm peers (lower is cleaner)

Planmember Securities Corporation ranks #1,517 of 20,055 by disclosure count among graded broker-dealers; light load at 0.02 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

303 offices

FINRA: Large firm

Total disclosures

5 events

On FINRA BrokerCheck

Regulatory events

5 actions

100% of all disclosures

Disclosures per office

0.02 per office

5 ÷ 303 offices

Planmember Securities Corporation vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 96% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 5
Arbitrations 0
Civil Events 0
Total 5

Counts for Planmember Securities Corporation reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 5 Arbitration 0 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Carpinteria, CA
CRD Number
11869

Regulator-heavy mix

Planmember Securities Corporation in the heavier-disclosure third

Planmember Securities Corporation carries 5 BrokerCheck disclosures across 303 branch offices - a heavier-third raw book among graded firms (#1,517 of 20,055). Regulator-initiated events are 100% of the book (5 regulatory / 0 arbitration / 0 civil).

100% of Planmember Securities Corporation's 5 disclosures are regulator-initiated (5 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Planmember Securities Corporation's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

California cohort · 2.44× state average

Planmember Securities Corporation sits above the California disclosure average

Planmember Securities Corporation reports 5 BrokerCheck disclosures, 2.44× the California average of 2.1 across 279 graded firms with a principal-office state on file.

In California, 189 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the California state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Planmember Securities Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Planmember Securities Corporation ranks #1,517 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #21 of 279 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Planmember Securities Corporation?
A grade of B reflects Planmember Securities Corporation's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 5 total disclosures across 303 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Planmember Securities Corporation have?
Planmember Securities Corporation has 5 total FINRA disclosures, including 5 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Planmember Securities Corporation?
Planmember Securities Corporation operates 303 branch offices and is classified by FINRA as a large firm, registered in CA (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Planmember Securities Corporation's disciplinary record?
You can verify Planmember Securities Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 11869. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Planmember Securities Corporation's 5 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Planmember Securities Corporation because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Planmember Securities Corporation carries 5 disclosures across 303 branch offices (about 0.02 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Planmember Securities Corporation, both outside CA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Federated Securities Corp. (PA) - 0.02 disclosures/office, nearest large firm peer to Planmember Securities Corporation's 0.02
  • Harbour Investments, Inc. (WI) - 0.02 disclosures/office, nearest large firm peer to Planmember Securities Corporation's 0.02
  • Emerson Equity LLC (CA) - 0.02 disclosures/office, nearest large firm peer to Planmember Securities Corporation's 0.02
  • Firms in CA - state roster that includes Planmember Securities Corporation's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Planmember Securities Corporation.
  • Reading BrokerCheck Reports - How Planmember Securities Corporation's 0.02 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Planmember Securities Corporation.
  • Compare firms - put Planmember Securities Corporation next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.