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Brooks Allen

Planmember Securities Corporation

Carpinteria, CA

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Current Employers
Planmember Securities Corporation

6267 Carpinteria Avenue, Carpinteria, CA 93013 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-05-13
  • CA RA
    APPROVED
    Since 2024-05-13

Branch Locations

6267 Carpinteria Avenue, Carpinteria, CA 93013 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fidelity Brokerage Services Llc Pasadena CA 08/2018 04/2019
Mission Wealth Management Santa Barbara CA 04/2018 06/2018
Unemployed Simi Valley CA 06/2016 04/2018
Mercer Global Advisors Inc. Sherman Oaks CA 11/2019 03/2022
Unemployed Simi Valley CA 04/2019 11/2019
Uc Santa Barbara Santa Barbara CA 09/2016 06/2018
One Capital Management, Llc Westlake Village CA 03/2022 07/2023
Planmember Securities Corporation Carpinteria CA 04/2024 Present
Na-Unemployed Thousand Oaks CA 07/2023 04/2024
  • 08/2018 → 04/2019
    Fidelity Brokerage Services Llc
    Pasadena, CA
  • 04/2018 → 06/2018
    Mission Wealth Management
    Santa Barbara, CA
  • 06/2016 → 04/2018
    Unemployed
    Simi Valley, CA
  • 11/2019 → 03/2022
    Mercer Global Advisors Inc.
    Sherman Oaks, CA
  • 04/2019 → 11/2019
    Unemployed
    Simi Valley, CA
  • 09/2016 → 06/2018
    Uc Santa Barbara
    Santa Barbara, CA
  • 03/2022 → 07/2023
    One Capital Management, Llc
    Westlake Village, CA
  • 04/2024 → Present
    Planmember Securities Corporation
    Carpinteria, CA
  • 07/2023 → 04/2024
    Na-Unemployed
    Thousand Oaks, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-02-21
S63 Uniform Securities Agent State Law Examination 2019-01-28
  • S65 Uniform Investment Adviser Law Examination
    2020-02-21
  • S63 Uniform Securities Agent State Law Examination
    2019-01-28
Other Names
  • Brooks Allen
  • Brooks Lawrence Allen

View on SEC IAPD

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Other Offices

PLANMEMBER ASSET MANAGEMENT CORPORATION · CARPINTERIA, CA
PLANMEMBER SECURITIES CORPORATION · Carpinteria, CA
PLANMEMBER SECURITIES CORPORATION · Carpinteria, CA
VANTAGEPOINT CAPITAL PARTNERS · CARPENTERIA, CA
EDWARD JONES · CARPINTERIA, CA
EDWARD JONES · Carpinteria, CA
WAYBURY CAPITAL MANAGEMENT, LLC · CARPINTERIA, CA
LPL FINANCIAL LLC · SUMMERLAND, CA

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