James Mustard, financial advisor Carpinteria CA

James Mustard

CRD Number: 1361797
Current Firm: Planmember Securities Corporation

James Mustard (CRD# 1361797) is an Investment Advisor Representative working at Planmember Securities Corporation in Carpinteria, CA and has over 37 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Planmember Securities Corporation Carpinteria, CA Feb 2017 - Current 7
United Financial Northwest LLC Lake Oswego, OR Feb 2017 - Current 7
Mustard Financial Services, Inc. Portland, OR Jan 1998 - Current 26
James P. Mustard Portland, OR Sep 1974 - Current 49
Lincoln Investment Portland, OR Jan 2017 - Feb 2017 < 1
Legend Equities Corporation Palm Beach Gardens, FL Oct 1995 - Feb 2017 21
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1986
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for James P. Mustard
Phone Number: 805-684-1199
Registered State(s):
  • OR
By the Numbers
  • Total Assets Under Management
    7,530
    MILLIONS
  • Total Number of Accounts
    67,968
    ACCOUNTS
  • Average Account Value
    $110,789
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

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