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Timothy Winterbottom

Planmember Securities Corporation
33 Years of Experience
Laguna Niguel, CA
5 DisclosuresBrokerSells Insurance
View SEC Summary
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Timothy Winterbottom is a registered investment advisor at Planmember Securities Corporation, based in Laguna Niguel, CA, with 33 years of industry experience. Timothy 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

Laguna Niguel, CA

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History

Regulatory History (5)
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
June 2004
Settled
Customer Dispute
February 2004
Closed-No Action
Customer Dispute
June 2003
Denied
Customer Dispute
October 2002
Denied
Customer Dispute
November 2000
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Timothy is self-employed in Irvine, CA, providing insurance sales and services, specifically fixed insurance, since 2012. This activity takes about a quarter of his time.

Employment History
Current Registrations
Planmember Securities Corporation
April 2012 - Present · 14 yrs 6 mos
Planmember Securities CorporationBroker
April 2012 - Present · 14 yrs 6 mos
Previous Registrations
Summitalliance Securities, L.L.C.Broker
June 2011 - February 2012 · 8 mos
LPL Financial LLC
October 2004 - July 2011 · 6 yrs 9 mos
LPL Financial LLCBroker
April 2004 - July 2011 · 7 yrs 3 mos
Wm Financial Services, INC.Broker
May 1998 - April 2004 · 5 yrs 11 mos
Great Western Financial Securities CorporationBroker
March 1994 - May 1998 · 4 yrs 2 mos
Chatfield Dean & CO., INC.Broker
March 1993 - November 1993 · 8 mos
State Registrations1 state
CA
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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