Craig Plump
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Craig Plump was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1983. Craig had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 1997 - July 23, 2013
THOMAS P. REYNOLDS SECURITIES LTD.
August 26, 1986 - April 16, 1996
BROADCORT CAPITAL CORP.
September 21, 1983 - September 11, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
THOMAS P. REYNOLDS SECURITIES LTD.
CRD#: 6414 / SEC#: , 8-26155
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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