Winston G. Plummer
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.
Winston George Plummer, who also goes by Winston G Plummer, was a registered financial professional .
Winston is a previously registered financial professional and started their career in finance in 1988. Winston had worked at 14 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
October 1, 2012 - December 31, 2013
J.P. MORGAN SECURITIES LLC
March 22, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 11, 2009 - December 31, 2010
MORGAN KEEGAN & COMPANY, LLC
April 7, 1999 - September 29, 2008
TRUIST INVESTMENT SERVICES, INC.
September 3, 1998 - April 1, 1999
FIRST UNION BROKERAGE SERVICES, INC.
April 1, 1998 - September 3, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 8, 1996 - April 1, 1998
BARNETT INVESTMENTS, INC.
January 20, 1996 - April 2, 1996
CITICORP INVESTMENT SERVICES
December 16, 1994 - January 21, 1996
BARNETT INVESTMENTS, INC.
March 11, 1993 - December 15, 1994
GLENFED BROKERAGE SERVICES
September 22, 1992 - March 5, 1993
FORESTERS FINANCIAL SERVICES, INC.
March 28, 1991 - August 7, 1991
PRUCO SECURITIES, LLC.
March 27, 1991 - August 7, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 16, 1988 - November 1, 1989
WADDELL & REED
May 6, 1988 - November 29, 1988
KETTLER & COMPANY
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
