AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RP

Richard T. Plumstead

Some features on this profile are disabled
CRD#: 364737
RP

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

Are you a "fiduciary"?
No

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)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 4, 2012 - November 30, 2012

ALLISON-WILLIAMS COMPANY

BD
CRD#: 29
ROSEVILLE, MN
Past

January 23, 2002 - January 4, 2010

ALLISON-WILLIAMS COMPANY

BD
CRD#: 29
MINNEAPOLIS, MN
Past

February 1, 1999 - December 31, 2001

SUMNER HARRINGTON LTD.

BD
CRD#: 45858
MINNETONKA, MN
Past

November 13, 1995 - June 29, 1998

SECURITIES RESOLUTION CORPORATION

BD
CRD#: 7119
MINNEAPOLIS, MN
Past

October 21, 1994 - July 27, 1995

JM DISSOLUTION, INC.

BD
CRD#: 6980
ST. PAUL, MN
Past

May 25, 1988 - February 27, 1995

FINTEGRA, LLC

BD
CRD#: 16741
MINNEAPOLIS, MN
Past

January 9, 1987 - May 27, 1988

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
Past

December 24, 1985 - November 25, 1986

MARCOTTE HUME & ASSOCIATES INCORPORATED

BD
CRD#: 16881
Past

August 1, 1983 - June 7, 1985

DOUGHERTY DAWKINS LLC

BD
CRD#: 7442
Past

April 20, 1981 - June 21, 1983

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

January 2, 1979 - April 5, 1981

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
Past

April 2, 1975 - January 18, 1980

FOLGER NOLAN FLEMING DOUGLAS INCORPORATED

BD
CRD#: 319
Past

February 13, 1974 - April 26, 1975

LAIDLAW, MARTIN & MOYSEY, INC.

BD
CRD#: 6636

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/1/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1975
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 1/2/1974
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/27/1988
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/1/1988
General Securities Principal Examination

Current Firm

AC
ALLISON-WILLIAMS COMPANY
ALLISON-WILLIAMS COMPANY

CRD#: 29 / SEC#: , 8-3223

BD
Terminated by SEC on 04/16/2023
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Minnesota since 09/11/1944
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
B&T CAPITAL INCHOLDING COMPANY
LARSON, GREGORY ALANCHAIRMAN, CEO, CCO2097773

Disclosures

Regulatory Event1

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.

Company Information

ALLISON-WILLIAMS COMPANY

CRD#: 29

TRUST BUT VERIFY

Monitor Richard Plumstead

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.