Jeffrey P. Ploen
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.
Jeffrey Paul Ploen was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1972. Jeffrey had worked at 7 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 1994 - January 10, 1995
INTERFIRST CAPITAL CORPORATION
August 19, 1993 - October 7, 1994
TAMARON INVESTMENTS, INC.
June 12, 1990 - August 6, 1993
GLOBAL CAPITAL SECURITIES CORPORATION
May 1, 1989 - May 29, 1990
NTB FINANCIAL CORPORATION
February 12, 1986 - March 11, 1989
NTB FINANCIAL CORPORATION
August 15, 1980 - June 22, 1982
AMERICAN FRONTEER FINANCIAL CORPORATION
March 11, 1975 - January 29, 1986
ENGLER-BUDD & COMPANY INC.
December 1, 1972 - June 21, 1975
INSTITUTIONAL SECURITIES OF COLORADO, INC.
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 1
Date: 11/23/1972
Registered Representative ExaminationCurrent Firm
INTERFIRST CAPITAL CORPORATION
CRD#: 7659 / SEC#: , 8-22805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MHK INVESTMENT CORPORATION | HOLDING COMPANY | |
| PHILLIPS, BRADFORD ASHLEY | CHAIRMAN, PRESIDENT AND CEO | 1730426 |
| ROGERS, KENNETH WALTER | EXECUTIVE VICE PRESIDENT SALES, DIRECTOR | 500255 |
| ROGERS, PAULA ANDREA | FINANCIAL AND OPERATIONS PRINCIPAL | 2167864 |
| TENNEY, LOUIS RUSSELL | SROP | 1032315 |
| TENNEY, LOUIS RUSSELL | MUNICIPAL BOND PRINCIPAL | 1032315 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
