Brendan P. Plunkett
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.
Brendan Patrick Plunkett was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 1986. Brendan had worked at 8 firms and has passed the Series 63, Series 52TO, 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
June 1, 2020 - February 26, 2024
ICE BONDS SECURITIES CORPORATION
May 5, 2016 - June 3, 2020
TMC BONDS L.L.C.
May 13, 2015 - August 17, 2015
TMC BONDS L.L.C.
June 26, 2012 - October 24, 2013
BONDS.COM LLC
September 8, 2011 - April 30, 2012
TRADITION SECURITIES AND DERIVATIVES LLC
February 1, 2007 - August 24, 2011
CHAPDELAINE TULLETT PREBON, LLC
October 7, 1991 - January 3, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
February 6, 1989 - September 16, 1991
INVEST FINANCIAL CORPORATION
September 24, 1986 - January 23, 1989
KMS CORPORATE BROKERS, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
ICE BONDS SECURITIES CORPORATION
CRD#: 123635 / SEC#: , 8-65601
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDITTRADE INC. | SHAREHOLDER | |
| BORSTELMANN, PETER L | PRESIDENT/DIRECTOR | 4825965 |
| EILEN, JEFFREY PHILIP | CHIEF COMPLIANCE OFFICER | 6149705 |
| FICARRA, THOMAS JOSEPH | DIRECTOR | 5502295 |
| LANSING, RYAN WILLIAM | DIRECTOR | 5408916 |
| MCKISSICK, JOHN JOSEPH | PRINCIPAL OPERATIONS OFFICER | 4939416 |
| THOMASSON, SEAN JOSEPH | FINANCIAL PRINCIPAL | 5124423 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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