Mark A. Plummer

APEX RESEARCH AND INVESTMENTS

AUSTIN, TX

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CRD#: 1477836

Professional summary

Mark Alan Plummer is a registered financial advisor currently at APEX RESEARCH AND INVESTMENTS, LLC located in Austin, Texas.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Mark has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alan Plummer's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 1, 2009 - Present

APEX RESEARCH AND INVESTMENTS, LLC

RIA

CRD#: 121643

AUSTIN, TX

Past

July 15, 2002 - December 31, 2008

APEX RESEARCH AND INVESTMENTS, LLC

RIA

CRD#: 121643

ARVADA, CO

Past

August 19, 1987 - June 23, 1997

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(1/1/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/31/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/1/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/18/1986

General Securities Representative Examination

Current Firm

APEX RESEARCH AND INVESTMENTS, LLC

APEX PARTNERS, LLC | APEX RESEARCH AND INVESTMENTS, LLC

CRD#: 121643 / SEC#:

Colorado

Registered Investment Advisory firm - (12/31/2008 Terminated)

Texas

Registered Investment Advisory firm - (1/1/2009 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Austin, TX

Mailing Address

Phone number

(512) 263-8824

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 92,175,973

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Mark A. Plummer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alan Plummer's CRS (Customer Relationship Summary).

Certified licenses

Experience

APEX RESEARCH AND INVESTMENTS, LLC

APEX RESEARCH AND INVESTMENTS, LLC

STEPHENS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/31/2002

Series 63

Date: 3/1/1986

Series 7

Date: 10/18/1986

Current Firm

APEX RESEARCH AND INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

APEX RESEARCH AND INVESTMENTS, LLC

TRUST BUT VERIFY

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