Plechette D. Bampoe
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.
Plechette D Bampoe, who also goes by Bampoe D Plechette, was a registered financial professional .
Plechette is a previously registered financial professional and started their career in finance in 2001. Plechette had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 6 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
March 22, 2013 - June 11, 2014
CAPITAL ONE INVESTMENT SERVICES LLC
February 27, 2013 - June 11, 2014
CAPITAL ONE FINANCIAL ADVISORS LLC
May 28, 2010 - November 30, 2011
TD AMERITRADE, INC.
May 28, 2010 - November 30, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 18, 2010 - November 30, 2011
TD AMERITRADE, INC.
October 17, 2007 - May 6, 2010
CUNA BROKERAGE SERVICES, INC.
November 13, 2006 - May 6, 2010
CUNA BROKERAGE SERVICES, INC.
December 20, 2005 - October 30, 2006
NEXT FINANCIAL GROUP, INC.
January 11, 2005 - November 25, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
October 30, 2003 - October 21, 2004
AMERICAN GENERAL DISTRIBUTORS, INC.
August 17, 2001 - August 25, 2003
CITISTREET EQUITIES LLC
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
Current Firm
CAPITAL ONE INVESTMENT SERVICES LLC
CRD#: 25658 / SEC#: , 8-41948
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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