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JP

Julian H. Plant

PANMURE LIBERUM
New York, NY 10017
Some features on this profile are disabled
CRD#: 1848356
JP

Professional summary

Julian Hugh Benedict Plant is a registered financial professional currently at PANMURE LIBERUM INC located in New York, New York.

Julian is registered as a RR (Registered Representative) and started their career in finance in 1988. Julian has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

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) - BD

Click below to view Julian Hugh Benedict Plant's 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

May 15, 2013 - Present

PANMURE LIBERUM INC

Office #1: 575 Fifth Avenue 20th Floor, New York, NY 10017
BD
CRD#: 148135
New York, NY
Past

March 3, 2010 - March 12, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

August 2, 2007 - March 3, 2010

CAZENOVE INCORPORATED

BD
CRD#: 1424
NEW YORK, NY
Past

December 17, 1996 - February 15, 2006

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

February 6, 1995 - December 17, 1996

KLEINWORT BENSON NORTH AMERICA INC.

BD
CRD#: 5087
Past

September 22, 1988 - January 3, 1989

KLEINWORT BENSON NORTH AMERICA INC.

BD
CRD#: 5087

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
New York
(5/15/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 2/27/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/12/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PL
PANMURE LIBERUM INC
LIBERUM | PANMURE LIBERUM INC | LIBERUM CAPITAL INC

CRD#: 148135 / SEC#: , 8-67976

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

Main Address
575 Fifth Avenue 20th Floor, New York, NY 10017
Mailing Address
575 Fifth Avenue 20th Floor, New York, NY 10017
Phone number
(212) 596-4800
Established
New York since 02/20/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PANMURE LIBERUM CAPITAL LIMITEDSOLE OWNER
PLANT, JULIAN HUGH BENEDICTCHIEF EXECUTIVE OFFICER1848356
RICCI, RICHARD THOMASDIRECTOR2575976
VIGLIAROLO, JOSEPH CHARLESFINOP, CFO, PFO, TREASURER4880434
WAGNER, ALAN PHILIPOPERATIONS MANAGER & CHIEF COMPLIANCE OFFICER3095126
WAGNER, ALAN PHILIPRESEARCH PRINCIPAL3095126
WAGNER, ALAN PHILIPPRINCIPAL OPERATIONS OFFICER3095126

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

PANMURE LIBERUM INC

CRD#: 148135New York, NY 10017

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