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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

ROSS LOPEZ

Advisor at PLANMEMBER SECURITIES CORPORATION

Carpinteria, CA | Glendora, CA

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Search this name across graphsid dfx:ria:52f2e7d4-e75f-7d47-210e-604c3c261df9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 1, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PLANMEMBER SECURITIES CORPORATION
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 29, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Feb 29, 2000
First registration: Jul 1, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4068954

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PLANMEMBER SECURITIES CORPORATION	Independent wealth	May 17, 2010	n/a	yes	Glendora, CA\|Carpinteria, CA	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Oct 8, 2009	Apr 30, 2010	no	GLENDORA, CA	Previous registration
STANCORP INVESTMENT ADVISERS, INC.	Other adviser	Mar 21, 2006	Sep 4, 2009	no	ORANGE, CA	Previous registration
BRECEK & YOUNG ADVISORS, INC.	Former SEC adviser	Aug 26, 2003	Oct 27, 2005	no	SANTA BARBARA, CA	Previous registration
CARILLON INVESTMENTS, INC.	n/a	Jul 1, 2003	Aug 25, 2003	no	LONG BEACH, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SECURITIES AMERICA ADVISORS, INC.	PLANMEMBER SECURITIES CORPORATION	Apr 30, 2010	May 17, 2010	17	Firm change	Other
STANCORP INVESTMENT ADVISERS, INC.	SECURITIES AMERICA ADVISORS, INC.	Sep 4, 2009	Oct 8, 2009	34	Firm change	Other
BRECEK & YOUNG ADVISORS, INC.	STANCORP INVESTMENT ADVISERS, INC.	Oct 27, 2005	Mar 21, 2006	145	Firm change	Other
CARILLON INVESTMENTS, INC.	BRECEK & YOUNG ADVISORS, INC.	Aug 25, 2003	Aug 26, 2003	1	Firm change	Other

Relationships

Registered with (5)

→ PLANMEMBER SECURITIES CORPORATIONRegistered adviserregistration: current employment
May 17, 2010 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Oct 8, 2009 to Apr 30, 2010factForm ADV
→ STANCORP INVESTMENT ADVISERS, INC.Registered adviserregistration: previous registration
Mar 21, 2006 to Sep 4, 2009factForm ADV
→ BRECEK & YOUNG ADVISORS, INC.Registered adviserregistration: previous registration
Aug 26, 2003 to Oct 27, 2005factForm ADV
→ CARILLON INVESTMENTS, INC.Registered adviserregistration: previous registration
Jul 1, 2003 to Aug 25, 2003factForm ADV

Dated events

No dated event names this entity yet.