Sean Samuel Plummer
Professional Summary
Sean Samuel Plummer is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
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
Contact Information
Main Address
78 Pine St., Suite 101, New Canaan, CT 06840Mailing Address
78 Pine St., Suite 101, New Canaan, CT 06840Phone Number
(203) 222-7400Established
Delaware since 12/11/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/14/2023)
(1/3/2014)
(3/16/2025)
(2/1/2026)
(11/8/2023)
(1/2/2024)
(1/3/2014)
(1/2/2024)
(1/2/2024)
(1/2/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Sean Samuel Plummer's CRS (Customer Relationship Summary).
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