Brian B. Plunkett

SEMPER FINANCIAL

HICKSVILLE, NY

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CRD#: 3121614

Professional summary

Brian Barry Plunkett, CFP® is a registered financial advisor currently at SEMPER FINANCIAL located in Hicksville, New York.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Brian has worked at 6 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Brian Barry Plunkett'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®

CFP^®

Certified Financial Planner

Start date: 2001

Experience

Current

April 8, 2021 - Present

SEMPER FINANCIAL

RIA

CRD#: 158686

HICKSVILLE, NY

Past

December 22, 2010 - September 22, 2011

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

MANHASSET, NY

Past

March 1, 2010 - December 31, 2010

THE INVESTMENT CENTER, INC.

CRD#: 17839

MANHASSET, NY

Past

July 10, 2003 - March 4, 2010

LPL FINANCIAL LLC

CRD#: 6413

MANHASSET, NY

Past

August 17, 2001 - July 10, 2003

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

December 24, 1998 - August 30, 2001

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(4/8/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/11/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/17/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/14/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SEMPER FINANCIAL

SEMPER FINANCIAL | SEMPER FINANCIAL ADVISORS LLC | SEMPER FINANCIAL ADVISORS

CRD#: 158686 / SEC#:

Florida

Registered Investment Advisory firm - (11/21/2025 Terminated)

New York

Registered Investment Advisory firm - (9/23/2011 Approved)

North Carolina

Registered Investment Advisory firm - (6/21/2024 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Southern Pines, NC

Mailing Address

Phone number

(516) 330-8616

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	74
AUM (Assets Under Management)	$ 37,000,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Brian B. Plunkett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Barry Plunkett's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEMPER FINANCIAL

CETERA FINANCIAL SPECIALISTS LLC

THE INVESTMENT CENTER, INC.

LPL FINANCIAL LLC

INVESTORS CAPITAL CORP.

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/11/1998

Series 7

Date: 12/17/2010

Series 6

Date: 12/14/1998

Current Firm

SEMPER FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SEMPER FINANCIAL

TRUST BUT VERIFY

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