Richard W. Plamondon

LAZARI CAPITAL MANAGEMENT

Woodland Hills, CA 91303

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CRD#: 2004419

Professional summary

Richard Wayne Plamondon, who also goes by Diek Plamondon, Richard W Plamondon, is a registered financial advisor currently at LAZARI CAPITAL MANAGEMENT, INC. located in Woodland Hills, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diek Plamondon | Richard W Plamondon

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.

1. INSURANCE AGENT, START: 04/30/2014, SOLE PROPRIETOR, 17960 MAYERLING ST. GRANADA HILLS, CA 91344, AGENT/SELL MEDICARE INSURANCE PRODUCTS, NOT INVESTMENT RELATED, 1 HOUR PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Wayne Plamondon'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

October 9, 2018 - Present

LAZARI CAPITAL MANAGEMENT, INC.

Office #1: 6928 Owensmouth Ave. #200, Woodland Hills, CA 91303

RIA

CRD#: 172932

Woodland Hills, CA

Past

July 1, 2013 - October 4, 2018

MUTUAL ADVISORS, LLC

RIA

CRD#: 167658

GRANADA HILLS, CA

Past

December 17, 2009 - July 9, 2013

MUTUAL SECURITIES, INC.

RIA

CRD#: 13092

Granada Hills, CA

Past

December 16, 2009 - October 4, 2018

MUTUAL SECURITIES, INC.

CRD#: 13092

Granada Hills, CA

Past

June 1, 2006 - December 17, 2009

WEDBUSH SECURITIES INC.

RIA

CRD#: 877

ENCINO, CA

Past

June 27, 2001 - December 17, 2009

WEDBUSH SECURITIES INC.

CRD#: 877

ENCINO, CA

Past

January 4, 1993 - July 30, 2001

TRIQUEST FINANCIAL, INC.

CRD#: 6596

GLENDALE, CA

Past

March 20, 1991 - January 14, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 21, 1989 - April 2, 1991

LEHMAN BROTHERS INC.

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".

LAZARI CAPITAL MANAGEMENT, INC.

IRON HILL WEALTH MANAGEMENT | TOTAL RETIREMENT PLAN SERVICES, INC. | POLARIS CAPITAL ADVISORS, LLC | LAZARI CAPITAL MANAGEMENT, INC. | KARAPETIAN, MICHAEL L

CRD#: 172932 / SEC#: 801-112927

RIA

Registered Investment Advisory firm - (4/23/2018 Approved)

California

Registered Investment Advisory firm - (9/19/2018 Terminated)

Florida

Registered Investment Advisory firm - (8/20/2018 Terminated)

Nevada

Registered Investment Advisory firm - (9/21/2018 Terminated)

Texas

Registered Investment Advisory firm - (8/20/2018 Terminated)

Virginia

Registered Investment Advisory firm - (8/21/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/9/2018)

IAR

Nevada
(12/10/2019)

IAR

New York
(9/16/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/11/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/27/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/18/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/5/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 2/23/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

LAZARI CAPITAL MANAGEMENT, INC.

IRON HILL WEALTH MANAGEMENT | TOTAL RETIREMENT PLAN SERVICES, INC. | POLARIS CAPITAL ADVISORS, LLC | LAZARI CAPITAL MANAGEMENT, INC. | KARAPETIAN, MICHAEL L

CRD#: 172932 / SEC#: 801-112927

RIA

Registered Investment Advisory firm - (4/23/2018 Approved)

California

Registered Investment Advisory firm - (9/19/2018 Terminated)

Florida

Registered Investment Advisory firm - (8/20/2018 Terminated)

Nevada

Registered Investment Advisory firm - (9/21/2018 Terminated)

Texas

Registered Investment Advisory firm - (8/20/2018 Terminated)

Virginia

Registered Investment Advisory firm - (8/21/2018 Terminated)

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Contact information

Main Address

6928 Owensmouth Ave. #200, Woodland Hills, CA 91303

Mailing Address

Phone number

(818) 264-0610

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2B (10/1/2025)

ADV PART 2A - LCMI (10/1/2025)

Regulatory assets under management

Total Number of Accounts	1,068
AUM (Assets Under Management)	$ 614,623,292

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.

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Advisor Monitoring

Firm Stability Insights

Richard W. Plamondon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Wayne Plamondon's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL ADVISORS, LLC

MUTUAL SECURITIES, INC.

MUTUAL SECURITIES, INC.

WEDBUSH SECURITIES INC.

WEDBUSH SECURITIES INC.

TRIQUEST FINANCIAL, INC.

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

LAZARI CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/11/2006

Series 63

Date: 11/27/1989

SIE

Date: 10/1/2018

Series 3

Date: 12/18/1989

Series 7

Date: 11/18/1989

Series 24

Date: 10/5/1999

Series 8

Date: 2/23/1993

Current Firm

LAZARI CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAZARI CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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