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KP

Keith Pleines

VP DISTRIBUTORS LLC
Hartford, CT 06103
Some features on this profile are disabled
CRD#: 2960095
KP

Professional summary

Keith Pleines, who also goes by Keith Scott Pleines, Keith S Pleines, is a registered financial professional currently at VP DISTRIBUTORS LLC located in Hartford, Connecticut.

Keith is registered as a RR (Registered Representative) and started their career in finance in 1997. Keith has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Keith Scott Pleines | Keith S Pleines

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 Keith Pleines'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

October 13, 2022 - Present

VP DISTRIBUTORS LLC

Office #1: One Financial Plaza, Hartford, CT 06103Office #2: 1301 Avenue Of The Americas 14th Floor, New York, NY 10019
BD
CRD#: 3036
Hartford, CT
Past

March 10, 2021 - September 6, 2022

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
EAST HILLS, NY
Past

February 20, 2019 - November 11, 2020

IRC SECURITIES LLC

BD
CRD#: 150022
NEW YORK, NY
Past

June 8, 2010 - June 7, 2018

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
NEW YORK, NY
Past

June 1, 2010 - June 7, 2018

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
NEW YORK, NY
Past

September 10, 2007 - July 12, 2010

MORGAN STANLEY INVESTMENT ADVISORS INC.

RIA
CRD#: 104525
NEW YORK, NY
Past

June 30, 2006 - June 1, 2010

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

March 15, 2006 - July 11, 2006

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

December 1, 2005 - March 10, 2006

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
SAN MATEO, CA
Past

April 19, 1999 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 31, 1998 - March 25, 1999

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

October 31, 1997 - April 21, 1998

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY

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
Connecticut
(10/13/2022)
RR
New York
(10/13/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/30/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/14/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/27/1997
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VD
VP DISTRIBUTORS LLC
PHOENIX EQUITY PLANNING CORPORATION | VP DISTRIBUTORS LLC | VP DISTRIBUTORS INC

CRD#: 3036 / SEC#: , 8-14100

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

Main Address
One Financial Plaza, Hartford, CT 06103
Mailing Address
One Financial Plaza, Hartford, CT 06103
Phone number
(860) 503-1348
Established
Delaware since 09/30/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
VIRTUS PARTNERS, INCSOLE MEMBER
BACHRACH, IANSENIOR MANAGING DIRECTOR, MARKETING2797509
BICKS, MICHAEL WAYNEMANAGING DIRECTOR, DISTRIBUTION INTELLIGENCE5450963
DANOS, CHRISTOPHER ROBERTMANAGING DIRECTOR, NATIONAL ACCOUNTS2716625
FRANCO, THOMAS RICHARDSENIOR MANAGING DIRECTOR, RETAIL SALES2651546
GRISWOLD, HEIDI CHRISTINEVICE PRESIDENT, FUND SERVICES2304631
HANLEY, DAVID GEORGE JRSENIOR VICE PRESIDENT AND TREASURER5455435
KATZ, DAVID JAYSENIOR MANAGING DIRECTOR, INSTITUTIONAL2813039
MACCONE, JOSEPH EDMUNDSENIOR MANAGING DIRECTOR, STRATEGIC DISTRIBUTION4273677
MANDINACH, BARRY MITCHELLEXECUTIVE VICE PRESIDENT1234185
MAROSITS, TIFFANY PAIGEVICE PRESIDENT, SENIOR REGULATORY COUNSEL AND ASSISTANT SECRETARY6507868
PERLMAN, DIANA MARIECHIEF COMPLIANCE OFFICER2555302
PURKALITIS, ANDRA CYNTHIAEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY3070864

Disclosures

Regulatory Event1
Bond3

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

VP DISTRIBUTORS LLC

CRD#: 3036Hartford, CT 06103

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