Ronald David Plexico Jr
Professional Summary
Ronald David Plexico JR, who also goes by Dave Plexico, is a registered financial advisor currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Charlotte, North Carolina. Ronald is registered as a RR (Registered Representative) and started their career in finance in 1991. Ronald has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dave Plexico
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.
Contact Information
Main Address
820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528Mailing Address
820 Tyvola Road-suite 104, Charlotte, NC 28217Phone Number
(704) 527-7873Established
North Carolina since 12/06/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
2FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
3Arbitration
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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
(5/3/2012)
(3/1/2011)
(3/10/2010)
(7/24/1997)
(4/21/2008)
(8/2/2007)
(4/10/2015)
(9/16/2010)
(9/17/1997)
(7/24/1997)
(6/28/2012)
(5/3/2012)
(1/30/2003)
(7/21/2008)
(9/11/2008)
(10/2/2013)
(5/19/2017)
(9/15/2011)
(7/24/2020)
(5/24/2010)
(8/13/2009)
(1/7/2005)
(2/1/2017)
(8/21/2013)
(3/28/2012)
(2/1/2018)
(5/19/2017)
(4/4/2008)
(6/7/2005)
(3/23/2010)
(9/4/2002)
(7/25/1997)
(11/21/2013)
(7/29/1997)
(5/3/2012)
(3/26/2024)
(7/28/1997)
(8/19/2010)
(7/25/1997)
(1/5/2017)
(5/3/2012)
(1/30/2007)
(2/24/2010)
(5/3/2012)
(7/24/1997)
(10/28/2008)
(2/5/2007)
(7/25/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1996SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Ronald David Plexico JR's CRS (Customer Relationship Summary).
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