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SP

Sean S. Plummer

EQUUS FINANCIAL CONSULTING LLC
Rye, NY 10580
Some features on this profile are disabled
CRD#: 2938813
SP

Professional summary

Sean Samuel Plummer is a registered financial professional currently at EQUUS FINANCIAL CONSULTING LLC located in Rye, New York.

Sean is registered as a RR (Registered Representative) and started their career in finance in 1997. Sean has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Samuel Plummer's CRS (Customer Relationship Summary).
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

January 3, 2014 - Present

EQUUS FINANCIAL CONSULTING LLC

Office #1: 64 Purchase St. 2nd Fl., Rye, NY, 10580
BD
CRD#: 131449
Rye, NY
Past

August 24, 2011 - November 8, 2013

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
NEW YORK CITY, NY
Past

November 10, 2008 - June 9, 2011

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
NEW YORK CITY, NY
Past

August 27, 1998 - April 30, 2001

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

September 1, 1997 - October 16, 1997

SECURITIES RESOLUTION CORPORATION

BD
CRD#: 7119
MINNEAPOLIS, MN

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
California
(9/14/2023)
RR
Connecticut
(1/3/2014)
RR
Illinois
(3/16/2025)
RR
Louisiana
(11/8/2023)
RR
Maryland
(1/2/2024)
RR
New York
(1/3/2014)
RR
Ohio
(1/2/2024)
RR
Pennsylvania
(1/2/2024)
RR
Tennessee
(3/16/2025)
RR
Texas
(1/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/31/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/6/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EF
EQUUS FINANCIAL CONSULTING LLC
BAY POINT ADVISORS, LLC | WEATHERVANE CAPITAL STRATEGIES LLC | LIBERTY LANE CAPITAL LLC | HAYSTACK CAPITAL PARTNERS, LLC | EQUUS FINANCIAL CONSULTING LLC | CROSSBAY CAPITAL PARTNERS LLC | BIG VENTURES

CRD#: 131449 / SEC#: , 8-66467

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
78 Pine St., Suite 101, New Canaan, CT 06840
Mailing Address
78 Pine St., Suite 101, New Canaan, CT 06840
Phone number
(203) 222-7400
Established
Delaware since 12/11/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EQUUS FINANCIAL LLCMEMBER
GLATTHORN, DARRYL JAMESMANAGING PARTNER, CCO, CFO, AMLCO1002270
GLATTHORN, JOCELYN KAEASSISTANT TO THE MANAGING PARTNER7288178
SINGER, STEVEN FREDERICFINOP2360737

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

EQUUS FINANCIAL CONSULTING LLC

CRD#: 131449Rye, NY 10580

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