RP
Ronald D. Plexico
SOUTHEAST INVESTMENTS, N.C.
Charlotte, NC 28217
Some features on this profile are disabled
CRD#: 2122340
RP
Professional summary
Ronald David Plexico JR, who also goes by Dave Plexico, is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dave Plexico
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.
CRS (Client Relationship Summary) - BD
Click below to view Ronald David Plexico JR'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®
NoneExperience
Current
July 1, 1997 - Present
SOUTHEAST INVESTMENTS, N.C., INC.
Office #1: 820 Tyvola Road, Suite 104, Charlotte, NC 28217RIA
BD
CRD#: 43035
Charlotte, NC
Past
January 2, 1997 - July 11, 1997
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
September 3, 1996 - December 31, 1996
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
July 31, 1996 - August 8, 1996
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
December 11, 1991 - July 30, 1996
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
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
Alabama(5/3/2012)
RR
Arizona(3/1/2011)
RR
Arkansas(3/10/2010)
RR
California(7/24/1997)
RR
Colorado(4/21/2008)
RR
Connecticut(8/2/2007)
RR
Delaware(4/10/2015)
RR
District of Columbia(9/16/2010)
RR
Florida(9/17/1997)
RR
Georgia(7/24/1997)
RR
Hawaii(6/28/2012)
RR
Idaho(5/3/2012)
RR
Illinois(1/30/2003)
RR
Indiana(7/21/2008)
RR
Iowa(9/11/2008)
RR
Kansas(10/2/2013)
RR
Kentucky(5/19/2017)
RR
Louisiana(9/15/2011)
RR
Maine(7/24/2020)
RR
Maryland(5/24/2010)
RR
Massachusetts(8/13/2009)
RR
Michigan(1/7/2005)
RR
Minnesota(2/1/2017)
RR
Mississippi(8/21/2013)
RR
Missouri(3/28/2012)
RR
Montana(2/1/2018)
RR
Nebraska(5/19/2017)
RR
New Hampshire(4/4/2008)
RR
New Jersey(6/7/2005)
RR
New Mexico(3/23/2010)
RR
New York(9/4/2002)
RR
North Carolina(7/25/1997)
RR
North Dakota(11/21/2013)
RR
Ohio(7/29/1997)
RR
Oklahoma(5/3/2012)
RR
Oregon(3/26/2024)
RR
Pennsylvania(7/28/1997)
RR
Rhode Island(8/19/2010)
RR
South Carolina(7/25/1997)
RR
South Dakota(1/5/2017)
RR
Tennessee(5/3/2012)
RR
Texas(1/30/2007)
RR
Utah(2/24/2010)
RR
Vermont(5/3/2012)
RR
Virginia(7/24/1997)
RR
Washington(10/28/2008)
RR
West Virginia(2/5/2007)
RR
Wisconsin(7/25/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/27/1996
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
SI
SOUTHEAST INVESTMENTS, N.C., INC.
SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Florida
Registered Investment Advisory firm - SEC (11/7/2019 Terminated)North Carolina
Registered Investment Advisory firm - SEC (3/31/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (1/6/2012 Approved)Texas
Registered Investment Advisory firm - SEC (12/16/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/21/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528
Mailing Address
820 Tyvola Road-suite 104, Charlotte, NC 28217
Phone number
(704) 527-7873
Established
North Carolina since 12/06/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
