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TP

Thane Plummer

REDROCK TRADING PARTNERS
Augusta, GA 30904
Some features on this profile are disabled
CRD#: 2102347
TP

Professional summary

Thane Plummer is a registered financial professional currently at REDROCK TRADING PARTNERS, LLC located in Augusta, Georgia.

Thane is registered as a RR (Registered Representative) and started their career in finance in 2005. Thane has worked at 1 firm and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 3, Series 14, Series 4 and Series 24 exams.

top-8-questions

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 Thane Plummer'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

April 5, 2005 - Present

REDROCK TRADING PARTNERS, LLC

Office #1: 2605 Walton Way, Augusta, GA 30904
BD
CRD#: 133277
Augusta, GA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/13/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/11/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/4/1990
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/26/2005
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/21/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RT
REDROCK TRADING PARTNERS, LLC
REDROCK TRADING PARTNERS, LLC

CRD#: 133277 / SEC#: , 8-66707

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

Main Address
2605 Walton Way, Augusta, GA 30904
Mailing Address
2605 Walton Way, Augusta, GA 30904
Phone number
(707) 726-2648
Established
Arizona since 05/24/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DEFOOR, PERRY BYRONCOMPANY MEMBER
DEHAAN, CHCOMPANY MEMBER
FINNEGAN PAUL HAYCOCK 2503C TRUSTCOMPANY MEMBER
GEORGIA CERES HAYCOCK 2503C TRUSTCOMPANY MEMBER
PLUMMER, THANEVICE PRESIDENT / CHIEF COMPLIANCE OFFICER/MANAGING MEMBER/SROP/CROP
VERA LUCILLE DEFOOR HAYCOCK 2503C TRUSTCOMPANY MEMBER

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

REDROCK TRADING PARTNERS, LLC

CRD#: 133277Augusta, GA 30904

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