Paul B. Plesser

INNOVATIVE FAMILY OFFICE LLC

Woodmere, NY

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CRD#: 1633013

Professional summary

Paul Bennett Plesser, who also goes by Paul Bennett Plesser, Paul B Plesser, Plesser, is a registered financial advisor currently at INNOVATIVE FAMILY OFFICE LLC located in Woodmere, New York.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Paul has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul Bennett Plesser | Paul B Plesser | Plesser

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.

(1) Name: P&J Plesser LLC Inv Rel: Y Addr: 2200 Northern Blvd, Ste 200, East Hills, NY 11548 Nature: LLC Created for Finances of Business Position: Partner Start Date: 05/23/2023 No. Hr/Mo: No. 1 Hr/Mo During Sec Trading: 0 Duties: Paying bills, writing checks. (2) NAME: Broadstreet Insurance Agency, LLC; Investment Related; 9 Annarock Drive, Somer10589; Insurance Company; Agent; APPROXI9MATE NUMBER OF HOURS PER MONTH 10; NUMBER OF HOURS DURING SECURITIES TRADING HOURS 10; DESCRIPTDUTIES Non-Securities Insurance Products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Bennett Plesser's CRS (Customer Relationship Summary).

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

December 5, 2024 - Present

INNOVATIVE FAMILY OFFICE LLC

RIA

CRD#: 329496

Woodmere, NY

Past

January 13, 2022 - December 9, 2024

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

EAST HILLS, NY

Past

November 20, 2021 - December 9, 2024

MML INVESTORS SERVICES, LLC

CRD#: 10409

EAST HILLS, NY

Past

January 11, 1989 - August 29, 1989

J.P. MORGAN SECURITIES INC.

CRD#: 18718

Past

February 26, 1987 - December 24, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INNOVATIVE FAMILY OFFICE LLC

BROADSTREET FAMILY OFFICE LLC | INNOVATIVE FAMILY OFFICE LLC

CRD#: 329496 / SEC#: 801-129455

RIA

Registered Investment Advisory firm - (2/9/2024 Approved)

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

New York
(12/5/2024)

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 66

Date: 12/1/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/17/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/20/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/29/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/21/1987

General Securities Representative Examination

Current Firm

INNOVATIVE FAMILY OFFICE LLC

BROADSTREET FAMILY OFFICE LLC | INNOVATIVE FAMILY OFFICE LLC

CRD#: 329496 / SEC#: 801-129455

RIA

Registered Investment Advisory firm - (2/9/2024 Approved)

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Contact information

Main Address

361 Route 202, Somers, NY 10589

Mailing Address

Phone number

(914) 427-8036

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INNOVATIVE FAMILY OFFICE LLC FORM ADV PART 2 BROCHURE (11/11/2025)

Regulatory assets under management

Total Number of Accounts	54
AUM (Assets Under Management)	$ 21,515,719

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.

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Advisor Monitoring

Firm Stability Insights

Paul B. Plesser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Bennett Plesser's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

J.P. MORGAN SECURITIES INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

INNOVATIVE FAMILY OFFICE LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2021

Series 63

Date: 3/17/1987

Series 7TO

Date: 11/20/2021

SIE

Date: 10/29/2021

Series 7

Date: 2/21/1987

Current Firm

INNOVATIVE FAMILY OFFICE LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INNOVATIVE FAMILY OFFICE LLC

TRUST BUT VERIFY

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