Thane Plummer
Professional Summary
Thane Plummer is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
REDROCK TRADING PARTNERS, LLC
Contact Information
Main Address
2605 Walton Way, Augusta, GA 30904Mailing Address
2605 Walton Way, Augusta, GA 30904Phone Number
(707) 726-2648Established
Arizona since 05/24/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEFOOR, PERRY BYRON | COMPANY MEMBER | — |
| DEHAAN, CH | COMPANY MEMBER | — |
| FINNEGAN PAUL HAYCOCK 2503C TRUST | COMPANY MEMBER | — |
| GEORGIA CERES HAYCOCK 2503C TRUST | COMPANY MEMBER | — |
| PLUMMER, THANE | VICE PRESIDENT / CHIEF COMPLIANCE OFFICER/MANAGING MEMBER/SROP/CROP | — |
| VERA LUCILLE DEFOOR HAYCOCK 2503C TRUST | COMPANY MEMBER | — |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thane Plummer's CRS (Customer Relationship Summary).
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