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JP

John J. Plunkett

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CRD#: 2321368
JP

Professional summary

John Joseph Plunkett was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, John had worked at 12 firms, which includes EMERALD INVESTMENTS INC., SUCCESS TRADE SECURITIES INC., LEMPERT BROTHERS INTERNATIONAL USA INC., U.S. SECURITIES & FUTURES CORP., WESTOR CAPITAL GROUP INC., SEABOARD SECURITIES INC., LT LAWRENCE & CO. INC., MONITOR INVESTMENT GROUP INC., PITTSBURG INSTITUTIONAL INC., GOLDIS FINANCIAL GROUP INC., DUNHILL EQUITIES INC., COMPREHENSIVE CAPITAL CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John J Plunkett

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 30, 2006 - January 4, 2010

EMERALD INVESTMENTS, INC.

BD
CRD#: 139511
NEW YORK, NY
Past

April 19, 2006 - July 12, 2006

SUCCESS TRADE SECURITIES, INC.

BD
CRD#: 46027
WASHINGTON, DC
Past

February 19, 2004 - April 3, 2006

LEMPERT BROTHERS INTERNATIONAL USA, INC.

BD
CRD#: 128241
NEW YORK, NY
Past

September 4, 2001 - April 28, 2003

U.S. SECURITIES & FUTURES CORP.

BD
CRD#: 36045
NEW YORK, NY
Past

January 23, 2001 - June 27, 2002

WESTOR CAPITAL GROUP, INC.

BD
CRD#: 103823
HERKIMER, NY
Past

September 27, 1996 - February 5, 2001

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ
Past

April 23, 1996 - September 6, 1996

LT LAWRENCE & CO., INC.

BD
CRD#: 31956
NEW YORK, NY
Past

March 28, 1996 - April 23, 1996

MONITOR INVESTMENT GROUP, INC.

BD
CRD#: 31007
Past

January 9, 1995 - April 10, 1995

PITTSBURG INSTITUTIONAL INC.

BD
CRD#: 36754
GREAT NECK, NY
Past

June 14, 1994 - March 22, 1996

GOLDIS FINANCIAL GROUP, INC.

BD
CRD#: 16444
GARDEN CITY, NY
Past

April 7, 1994 - June 15, 1994

DUNHILL EQUITIES, INC.

BD
CRD#: 21822
GARDEN CITY, NY
Past

August 25, 1993 - March 1, 1994

COMPREHENSIVE CAPITAL CORPORATION

BD
CRD#: 6215
GREAT NECK, NY

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: 8/4/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/24/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/24/1999
General Securities Principal Examination

Current Firm

EI
EMERALD INVESTMENTS, INC.
EMERALD INVESTMENTS, INC.

CRD#: 139511 / SEC#: , 8-67221

BD
Terminated by SEC on 02/06/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/04/2005
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
INCE, JOHNSHAREHOLDER
RIVARD, ROSSSHAREHOLDER

Disclosures

Regulatory Event6

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

EMERALD INVESTMENTS, INC.

CRD#: 139511

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