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RP

Rodney A. Plaskett

THIRD SEVEN CAPITAL LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 1811642
RP

Professional summary

Rodney Adolph Plaskett, who also goes by Rodney Adolph Lederer-plaskett, is a registered financial professional currently at THIRD SEVEN CAPITAL LLC located in Greenwich, Connecticut.

Rodney is registered as a RR (Registered Representative) and started their career in finance in 1988. Rodney has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rodney Adolph Lederer-Plaskett

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) - BD

Click below to view Rodney Adolph Plaskett'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 2, 2021 - Present

THIRD SEVEN CAPITAL LLC

Office #1: 67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
BD
CRD#: 160209
Greenwich, CT
Past

July 20, 2021 - December 1, 2021

WAYPOINT DIRECT INVESTMENTS, LLC

BD
CRD#: 132475
STAMFORD, CT
Past

June 14, 2021 - June 29, 2021

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
TARRYTOWN, NY
Past

November 19, 2018 - June 29, 2021

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
TARRYTOWN, NY
Past

May 5, 2016 - January 24, 2018

SIDOTI & COMPANY, LLC

BD
CRD#: 102860
NEW YORK, NY
Past

July 2, 2015 - May 16, 2016

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
STAMFORD, CT
Past

July 3, 2014 - May 16, 2016

OPPENHEIMER & CO. INC.

BD
CRD#: 249
STAMFORD, CT
Past

January 11, 2011 - July 24, 2012

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

July 1, 2010 - January 18, 2011

LEDGEMONT SECURITIES LLC

BD
CRD#: 145009
NEW YORK, NY
Past

December 2, 2009 - July 1, 2010

LEDGEMONT CAPITAL MARKETS LLC

BD
CRD#: 119340
NEW YORK, NY
Past

September 22, 2008 - August 21, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

July 8, 2005 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

December 2, 2003 - June 20, 2005

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

April 10, 2003 - October 30, 2003

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

November 13, 2000 - April 10, 2003

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

August 2, 1994 - October 30, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

August 13, 1992 - August 22, 1994

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

March 22, 1988 - August 27, 1988

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/6/2022)
RR
Colorado
(1/6/2022)
RR
Connecticut
(1/6/2022)
RR
Florida
(1/6/2022)
RR
New Jersey
(3/9/2023)
RR
New York
(12/2/2021)
RR
Pennsylvania
(1/6/2022)
RR
Virginia
(1/6/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/2/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/27/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/11/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/11/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THIRD SEVEN CAPITAL LLC
THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC

CRD#: 160209 / SEC#: , 8-69032

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
67 Holly Hill Lane Suite 8500, New York, NY 10022
Mailing Address
67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
Phone number
(917) 602-6153
Established
Delaware since 07/06/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
THIRD SEVEN GROUP LLCHOLDING COMPANY
DIFIORE, MONICA LISACCO2966552
LEDGER, NICHOLAS MARKCEO/CFO6779287
SAKOL, DANIEL SCOTTFIN OP2813237

Disclosures

Regulatory Event1

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

THIRD SEVEN CAPITAL LLC

CRD#: 160209Greenwich, CT 06830

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