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JM
ChFC
JM
ChFC

James Mustard

Planmember Securities Corporation
41 Years of Experience
Portland, OR
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

James Mustard is a ChFC-designated registered investment advisor at Planmember Securities Corporation, based in Portland, OR, with 41 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 69,645 clients with $10B in assets under management.

Planmember Securities Corporation
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
445 advisors
Number of Clients
69,645 clients
Average Client Portfolio
$145K average
Assets Under Management
$10.1B

Fee Structure

Minimum Investment:$5K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K0.25%
$500K - $1.0M0.20%
$1M+0.10%

Maximum annual fee rate is 2.00% across programs; tiered schedule applies to accounts established on or after January 1, 2026. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Portland, OR

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2015
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is a representative/owner of United Financial Northwest LLC, focusing on securities and insurance sales, dedicating nearly full-time hours. He is also President of Mustard Financial Services, Inc. for banking purposes and an insurance agent, spending minimal time on insurance sales.

Employment History
Current Registrations
Planmember Securities Corporation
February 2017 - Present · 9 yrs 8 mos
Planmember Securities CorporationBroker
February 2017 - Present · 9 yrs 8 mos
Previous Registrations
Lincoln InvestmentBroker
January 2017 - February 2017 · 1 mo
Legend Advisory, LLC
September 2004 - February 2017 · 12 yrs 5 mos
Legend Equities CorporationBroker
October 1995 - January 2017 · 21 yrs 3 mos
Sentra Securities CorporationBroker
October 1990 - October 1995 · 5 yrs
Pamco Securities and Insurance ServicesBroker
May 1990 - September 1990 · 4 mos
Gaf Financial and Insurance ServicesBroker
May 1990 - September 1990 · 4 mos
H. C. Copeland and Associates Equities, INC.Broker
April 1985 - July 1990 · 5 yrs 3 mos
State Registrations13 states
AZCACOFLHIILMDNCOHORTXWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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