Richard D. Plinio
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.
Richard Dominick Plinio, who also goes by Rich Plinio, Richard Plinio, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 8 firms and has passed the Series 63, Series 55 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
August 5, 2003 - March 3, 2006
GUNNALLEN FINANCIAL, INC
October 21, 1998 - August 5, 2003
CROWN FINANCIAL GROUP, INC.
December 24, 1991 - October 5, 1998
H.J. MEYERS & CO., INC.
July 16, 1991 - August 19, 1991
A. G. EDWARDS & SONS, INC.
July 26, 1990 - August 9, 1991
PRINCETON FINANCIAL GROUP, INC.
May 18, 1990 - July 6, 1990
TITAN/VALUE EQUITIES GROUP, INC.
September 22, 1989 - May 18, 1990
JONATHAN ALAN & CO., INC.
April 5, 1989 - October 4, 1989
CROWN FINANCIAL GROUP, INC.
February 19, 1986 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
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
Series 55
Date: 12/11/2002
Limited Representative-Equity Trader ExamCurrent Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
