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BP

Bruce A. Plyer

Some features on this profile are disabled
CRD#: 1666324
BP

Professional summary

Bruce Arnold Plyer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bruce is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Bruce had worked at 4 firms, which includes INTERNATIONAL ASSETS ADVISORY LLC, MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 22, 2016 - February 28, 2017

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
MORRISTOWN, NJ
Past

June 1, 2009 - December 23, 2016

MORGAN STANLEY

RIA
CRD#: 149777
FLORHAM PARK, NJ
Past

June 1, 2009 - December 23, 2016

MORGAN STANLEY

BD
CRD#: 149777
FLORHAM PARK, NJ
Past

May 10, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
FLORHAM PARK, NJ
Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
FLORHAM PARK, NJ
Past

May 21, 1987 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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".
IA
INTERNATIONAL ASSETS ADVISORY, LLC
INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645 / SEC#: 801-119029, 8-27736

RIA
Registered Investment Advisory firm - SEC (7/21/2020 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/1/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/21/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/28/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/22/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/1987
General Securities Representative Examination

Current Firm

IA
INTERNATIONAL ASSETS ADVISORY, LLC
INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645 / SEC#: 801-119029, 8-27736

RIA
Registered Investment Advisory firm - SEC (7/21/2020 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
111 North Orange Avenue Suite 1000, Orlando, FL 32801
Mailing Address
111 North Orange Avenue Suite 1000, Orlando, FL 32801
Phone number
(407) 254-1500
Established
Florida since 07/26/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
3

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

IAA FORM ADV PART 2A 1.30.2025 (1/31/2025)

Direct owners and executive officers

NamePositionCRD#
PECUNIA MANAGEMENT, LLCOWNER
COFRANCESCO, EDWARD RICHARDCEO2305035
LAMPMAN, MATTHEW EDWARDPRESIDENT/CHIEF OPERATING OFFICER6132493
MOORE, ANN KATHERINECHIEF BUSINESS DEVELOPMENT OFFICER5535928
NICHOLSON, MYRA PEARLECHIEF LEGAL OFFICER, CHIEF RISK OFFICER2740029
WEINBERGER, DAVID SREGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER2676116
WEISS, RICHARD JAYCHIEF COMPLIANCE OFFICER, CHIEF AML CCO2523174

Disclosures

Regulatory Event8
Arbitration2

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.

Company Information

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

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