Richard T. Plumstead
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.
Richard Tucker Plumstead was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1974. Richard had worked at 12 firms and has passed the Series 63, Series 7, Series 1, Series 53 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
January 4, 2012 - November 30, 2012
ALLISON-WILLIAMS COMPANY
January 23, 2002 - January 4, 2010
ALLISON-WILLIAMS COMPANY
February 1, 1999 - December 31, 2001
SUMNER HARRINGTON LTD.
November 13, 1995 - June 29, 1998
SECURITIES RESOLUTION CORPORATION
October 21, 1994 - July 27, 1995
JM DISSOLUTION, INC.
May 25, 1988 - February 27, 1995
FINTEGRA, LLC
January 9, 1987 - May 27, 1988
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 24, 1985 - November 25, 1986
MARCOTTE HUME & ASSOCIATES INCORPORATED
August 1, 1983 - June 7, 1985
DOUGHERTY DAWKINS LLC
April 20, 1981 - June 21, 1983
DAIN RAUSCHER INCORPORATED
January 2, 1979 - April 5, 1981
FIFTH THIRD SECURITIES, INC.
April 2, 1975 - January 18, 1980
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
February 13, 1974 - April 26, 1975
LAIDLAW, MARTIN & MOYSEY, 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: 1/2/1974
Registered Representative ExaminationCurrent Firm
ALLISON-WILLIAMS COMPANY
CRD#: 29 / SEC#: , 8-3223
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B&T CAPITAL INC | HOLDING COMPANY | |
| LARSON, GREGORY ALAN | CHAIRMAN, CEO, CCO | 2097773 |
Disclosures
| Regulatory Event | 1 |
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.
