James A. Ploeger
Professional summary
Being a previously registered professional could mean that this person 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.
James Arthur Ploeger was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1967. James had worked at 13 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2022 - May 13, 2026
LESTER FINANCIAL GROUP, LLC
August 3, 2020 - January 5, 2023
ARBOR POINT ADVISORS
April 15, 2016 - July 13, 2021
SECURITIES AMERICA ADVISORS, INC.
April 15, 2016 - June 4, 2024
SECURITIES AMERICA, INC.
February 28, 2003 - April 19, 2016
VALMARK ADVISERS, INC.
February 14, 2003 - April 19, 2016
VALMARK SECURITIES, INC.
October 14, 1998 - February 14, 2003
WALNUT STREET ADVISERS INC
July 12, 1985 - February 24, 2003
WALNUT STREET SECURITIES, INC.
March 9, 1983 - May 22, 1987
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 31, 1974 - January 14, 1987
GENERAL AMERICAN LIFE INSURANCE COMPANY
December 28, 1973 - March 2, 1978
WZW FINANCIAL SERVICES, INC.
August 26, 1969 - May 10, 1974
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 16, 1967 - January 7, 1974
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
LESTER FINANCIAL GROUP, LLC
CRD#: 317036 / SEC#: 801-122944
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 9/26/1967
Registered Representative ExaminationCurrent Firm
LESTER FINANCIAL GROUP, LLC
CRD#: 317036 / SEC#: 801-122944
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,579 |
| AUM (Assets Under Management) | $ 264,056,030 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
