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Joel Darren Plasco

CRD# 3220164·Registered 2009 - 2020
Previously Registered: Being a previously registered professional could mean that Joel is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Joel Darren Plasco was a registered financial advisor. Joel was a previously registered financial professional and started their career in finance 2009 - 2020. Joel had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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.

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Years of Experience

27 years in the financial services industry

Current & Past Employments

DALMORE GROUP LLC·CRD# 136352
BD
Mcdonough, GA
October 8, 2015 - November 16, 2020
CAPITAL GUARDIAN, LLC·CRD# 137919
BD
New York, NY
February 24, 2014 - October 9, 2015
DALMORE GROUP LLC·CRD# 136352
BD
Mcdonough, GA
February 13, 2012 - December 12, 2013
TICONDEROGA SECURITIES LLC·CRD# 7671
BD
New York, NY
October 8, 2009 - February 2, 2012
TP ICAP GLOBAL MARKETS AMERICAS LLC·CRD# 2762
BD
New York, NY
May 7, 2009 - October 7, 2009

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Current Firm

DG
DALMORE GROUP LLC

DALMORE GROUP LLC

CRD#: 136352 / SEC#: 8-67002
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Contact Information

Main Address

41 Griffin Street, Mcdonough, GA 30253

Mailing Address

6250 Shiloh Road Box 12, Alpharetta, GA 30005

Phone Number

(917) 887-1948

Established

New York since 04/07/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DALMORE HOLDINGS, INCMEMBER FIRM—
NEELY, KIMBERLY BETHFINOP2045019
SADLER, JOQUINN THOMASCCO2817763
SEIDEL, OSCAR FRANCISCOPRESIDENT/CEO2328358

Disclosures

Regulatory Event

2

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2013About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1999About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2009About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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