Dorcity Adena Phipps

Employer firm

Planmember Securities Corporation CRD 11869

$10.1B regulatory AUM 125 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Planmember Securities Corporation

6267 Carpinteria Avenue, Carpinteria, CA 93013 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2001-07-31

CA RA
APPROVED

Since 2001-07-31

Branch Locations

Duarte, CA • United States

4520 Wilshire Blvd, Suite 201, Los Angeles, CA 90010 • 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

Organization	City	State	From	To
Elmonte Union High School District	El Monte	CA	09/1982	Present
Irm Distributors, Inc.	Carpinteria	CA	07/1987	Present
Surety Investment Services	La	CA	12/2014	Present

09/1982 → Present

Elmonte Union High School District

El Monte, CA
07/1987 → Present

Irm Distributors, Inc.

Carpinteria, CA
12/2014 → Present

Surety Investment Services

La, CA

Other Businesses

SURETY INVESTMENT SERVICES:4520 WILSHIRE BLVD, SUITE 201 LOS ANGELES CA ;START DATE: 12/16/2014;PLANMEMBER FINANCIAL CENTER;SECURITIES REG. REP;INVESTMENT RELATED;. NUM OF HRS/MTH DEVOTED TO THIS BUS:0 NUM OF HRS/MTH DEVOTED TO THIS BUS. DURING TRADING HOURS:0

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2001-08-25

S63 Uniform Securities Agent State Law Examination

2001-08-25

View on SEC IAPD