Marilyn D. Plum
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.
Marilyn Dunlavy Plum was a registered financial professional .
Marilyn is a previously registered financial professional and started their career in finance in 1984. Marilyn had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2016 - May 11, 2018
EP WEALTH ADVISORS
April 28, 1998 - January 21, 2016
BALLOU PLUM WEALTH ADVISORS LLC
December 31, 1997 - January 27, 2016
LPL FINANCIAL LLC
February 9, 1994 - January 27, 2016
LPL FINANCIAL LLC
June 18, 1989 - January 25, 1994
SUNAMERICA SECURITIES, INC.
December 11, 1984 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
June 6, 1984 - December 13, 1984
CARDELL & ASSOCIATES, INCORPORATED
April 18, 1984 - June 4, 1984
WZW FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 49,167 |
| AUM (Assets Under Management) | $ 35,570,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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