Michael J. Plummer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Jay Plummer, who also goes by Michael J Plummer, Mike Plummer, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1997. Michael had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2003 - April 29, 2009
CANTELLA & CO., INC.
February 4, 2003 - April 29, 2009
CANTELLA & CO., INC.
March 6, 2002 - February 5, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 16, 2001 - February 5, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 2000 - August 30, 2000
FIDUCIAL INVESTMENT ADVISORS, INC.
April 19, 1999 - June 30, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 19, 1999 - June 30, 2000
OSAIC FA, INC.
February 27, 1997 - April 1, 1999
ROBERT W. BAIRD & CO. INCORPORATED
February 27, 1997 - April 1, 1999
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
