Michael L. 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.
Michael Lawrence Plunkett, who also goes by Michael L Plunkett, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 8 firms and has passed the Series 63 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
November 22, 2013 - June 16, 2014
LEVELX CAPITAL LLC
March 8, 2011 - July 11, 2012
BROWNSTONE INVESTMENT GROUP, LLC
November 1, 2004 - December 10, 2010
JEFFERIES LLC
February 26, 2002 - November 1, 2004
BONDS DIRECT SECURITIES LLC
April 6, 1998 - February 25, 2002
PERSHING LLC
May 25, 1994 - March 19, 1998
GRUNTAL & CO., L.L.C.
June 14, 1991 - January 25, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
January 2, 1989 - June 5, 1991
LEGG MASON WOOD WALKER, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEVELX CAPITAL LLC
CRD#: 117028 / SEC#: , 8-53580
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Criminal | 1 |
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.
