Richard A. Plummer
Professional summary
Richard Allen Plummer III, who also goes by Richard Plummer, Allen Plummer, R Allen Plummer, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in Washington, District Of Columbia.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2018. Richard has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Allen Plummer III's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2023 - Present
TCG CAPITAL MARKETS L.L.C.
Office #1: 1001 Pennsylvania Ave., Nw Suite 220 South, Washington, DC 20004November 27, 2018 - December 31, 2022
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/23/2023)
Exams
Series 7TO
Date: 11/20/2018
General Securities Representative ExaminationFINRA
Current Firm
TCG CAPITAL MARKETS L.L.C.
CRD#: 291767 / SEC#: , 8-70061
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLYLE INVESTMENT MANAGEMENT, L.L.C. | MEMBER | |
| KRZAK, ALEXANDER JACOB | PRINCIPAL OPERATIONS OFFICER | 6349160 |
| LEFKOWITZ, JOSHUA ADAM | OFFICER | 7216783 |
| LOWENTHAL, MITCHELL NEAL | CO-CHIEF COMPLIANCE OFFICER | 6939241 |
| PLOUFFE, JUSTIN | CEO | 6223477 |
| QIAN, LIANGSHUN | CO-CHIEF COMPLIANCE OFFICER | 7247412 |
| RIORDAN, TIFFANY | FINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 6313437 |
Red Flags
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