KP
Kevin T. Pluff
APOLLO GLOBAL SECURITIES
New York, NY 10019-2701
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CRD#: 4479992
KP
Professional summary
Kevin Thomas Pluff, who also goes by Kevin Pluff, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 2002. Kevin has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kevin Pluff
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.
CRS (Client Relationship Summary) - BD
Click below to view Kevin Thomas Pluff's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 17, 2025 - Present
APOLLO GLOBAL SECURITIES, LLC
Office #1: 9 West 57th Street 8th Fl, New York, NY 10019-2701BD
CRD#: 153502
New York, NY
Past
June 3, 2005 - September 12, 2022
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
April 11, 2005 - June 10, 2005
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
January 21, 2002 - June 3, 2003
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/21/2025)
RR
Alaska(11/21/2025)
RR
Arizona(9/26/2025)
RR
Arkansas(12/8/2025)
RR
California(11/21/2025)
RR
Colorado(9/19/2025)
RR
Connecticut(9/19/2025)
RR
Delaware(11/21/2025)
RR
District of Columbia(9/19/2025)
RR
Florida(9/17/2025)
RR
Georgia(11/24/2025)
RR
Hawaii(11/25/2025)
RR
Idaho(9/17/2025)
RR
Illinois(9/17/2025)
RR
Indiana(11/25/2025)
RR
Iowa(11/21/2025)
RR
Kansas(11/21/2025)
RR
Kentucky(9/17/2025)
RR
Louisiana(9/19/2025)
RR
Maine(11/24/2025)
RR
Maryland(10/2/2025)
RR
Massachusetts(11/24/2025)
RR
Michigan(9/17/2025)
RR
Minnesota(9/17/2025)
RR
Mississippi(9/17/2025)
RR
Missouri(11/21/2025)
RR
Montana(9/17/2025)
RR
Nebraska(9/17/2025)
RR
Nevada(11/24/2025)
RR
New Hampshire(11/24/2025)
RR
New Jersey(9/17/2025)
RR
New Mexico(11/21/2025)
RR
New York(11/21/2025)
RR
North Carolina(11/21/2025)
RR
North Dakota(11/24/2025)
RR
Ohio(11/21/2025)
RR
Oklahoma(9/17/2025)
RR
Oregon(12/1/2025)
RR
Pennsylvania(11/24/2025)
RR
Puerto Rico(10/6/2025)
RR
Rhode Island(11/24/2025)
RR
South Carolina(9/17/2025)
RR
South Dakota(9/17/2025)
RR
Tennessee(11/24/2025)
RR
Texas(9/17/2025)
RR
Utah(11/21/2025)
RR
Vermont(11/21/2025)
RR
Virgin Islands(11/26/2025)
RR
Virginia(11/24/2025)
RR
Washington(9/17/2025)
RR
West Virginia(11/25/2025)
RR
Wisconsin(11/24/2025)
RR
Wyoming(11/24/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AG
APOLLO GLOBAL SECURITIES, LLC
AP CM, LLC | ATLAS SP SECURITIES | APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
9 West 57th Street, New York, NY 10019-2701
Mailing Address
9 West 57th Street, New York, NY 10019-2701
Phone number
(212) 515-3200
Established
Delaware since 03/11/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO GLOBAL SECURITIES INTERMEDIATE, L.P. | SOLE MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
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.
