Joseph M Pleffner
Professional Summary
Joseph M Pleffner, who also goes by Joseph Michael Pleffner, Joe Pleffner, is a registered financial advisor currently at GTS SECURITIES LLC located in New York, New York and GTS EXECUTION SERVICES LLC located in New York, New York. Joseph is registered as a RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 7 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joseph Michael Pleffner, Joe Pleffner
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Current Firm
GTS EXECUTION SERVICES LLC
Contact Information
Main Address
625 Avenue Of Americas 3rd Floor, New York, NY 10011Mailing Address
625 Avenue Of Americas 3rd Floor, New York, NY 10011Phone Number
(212) 715-5900Established
Delaware since 03/09/2018Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (21 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
State Registrations and Notice Filings
(5/20/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed May 2000SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
CRS (Client Relationship Summary) - BD
Click below to view Joseph M Pleffner's CRS (Customer Relationship Summary).
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC