Jay C. Plourde

JOSEPH WEALTH MANAGEMENT

New York, NY

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CRD#: 2377605

Professional summary

Jay Clifton Plourde is a registered financial advisor currently at JOSEPH WEALTH MANAGEMENT, LLC located in New York, New York.

Jay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Jay has worked at 6 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. Joseph Business School, Forest Park, Illinois, Not investment-related, Position: Board member. 501-C-3 Organization. 0 hours spent during securities trading hours. 2. Kenneth Copeland Ministries, Ft. Worth, Texas, Not investment-related, Position: Board member, 501-C-3 Organization. 0 hours spent during securities trading hours. 3. StoryFile, Inc. 734 N. Highland Drive, Los Angeles, CA 90036. Not investment-related. Media and new technology company. Positon: Receive $500 per month as an advisor/consultant, Start date-1/2022, 1 hour per week spent all during securities trading hours. 4. Riposte Capital, investment-related, 888 7th Avenue, New York, NY 10106. Hedge fund. Position: Administrative, Manager of Risk and Compliance, start date - 02/2023, 30 Hours a month, 15 hours during trading hours. Monitor portfolio risk and manage compliance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Clifton Plourde'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 3, 2024 - Present

JOSEPH WEALTH MANAGEMENT, LLC

RIA

CRD#: 309996

New York, NY

Past

January 26, 2022 - April 26, 2022

JOSEPH WEALTH MANAGEMENT, LLC

RIA

CRD#: 309996

NEW YORK, NY

Past

February 15, 2013 - August 20, 2013

CLSA AMERICAS, LLC

CRD#: 165533

NEW YORK, NY

Past

May 15, 2007 - June 7, 2013

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

Past

November 13, 2001 - May 18, 2007

SCIUS SECURITIES LLC

CRD#: 113223

NEW YORK, NY

Past

April 22, 1998 - January 29, 2000

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

October 29, 1996 - April 17, 1998

MAYBANK SECURITIES USA INC.

CRD#: 27861

NEW YORK, NY

Past

September 3, 1993 - October 11, 1996

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(6/15/2024)

IAR

Illinois
(4/3/2024)

IAR

South Carolina
(4/8/2024)

IAR

Texas
(4/3/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/4/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 12/19/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/2/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 8/10/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 4/22/1996

General Securities Principal Examination

Current Firm

JOSEPH WEALTH MANAGEMENT, LLC

CRD#: 309996 / SEC#:

Florida

Registered Investment Advisory firm - (12/13/2022 Approved)

Illinois

Registered Investment Advisory firm - (7/16/2020 Approved)

South Carolina

Registered Investment Advisory firm - (9/16/2022 Approved)

Texas

Registered Investment Advisory firm - (11/22/2022 Approved)

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Contact information

Main Address

7600 West Roosevelt Rd. Suite 10, Forest Park, IL 60130

Mailing Address

Phone number

(800) 807-2881

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	144
AUM (Assets Under Management)	$ 21,021,237

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.

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Firm Stability Insights

Jay C. Plourde

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Clifton Plourde's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOSEPH WEALTH MANAGEMENT, LLC

CLSA AMERICAS, LLC

CREDIT AGRICOLE SECURITIES (USA) INC.

SCIUS SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

MAYBANK SECURITIES USA INC.

CREDIT AGRICOLE SECURITIES (USA) INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/4/2022

Series 63

Date: 12/8/1993

Series 55

Date: 12/19/2007

Series 7

Date: 9/2/1993

Series 8

Date: 8/10/1999

Series 24

Date: 4/22/1996

Current Firm

JOSEPH WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JOSEPH WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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