Conrad A. Plimpton

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CRD#: 4924546

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.

Conrad Austin Plimpton II, who also goes by Conrad Austin Plimpton, Steve Plimpton, was a registered financial professional .

Conrad is a previously registered financial professional and started their career in finance in 2005. Conrad had worked at 8 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Conrad Austin Plimpton | Steve Plimpton

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

October 20, 2021 - December 12, 2022

OLD CITY SECURITIES LLC

CRD#: 171910

NEW YORK, NY

Past

February 20, 2019 - October 31, 2019

MARCO POLO SECURITIES INC.

CRD#: 46561

NEW YORK, NY

Past

September 26, 2018 - February 14, 2019

SPOUTING ROCK CAPITAL ADVISORS, LLC

CRD#: 143180

Bryn Mawr, PA

Past

January 2, 2018 - September 24, 2018

RELIANCE WORLDWIDE INVESTMENTS, LLC

CRD#: 143546

GURNEE, IL

Past

July 19, 2017 - December 15, 2017

ENTREX CAPITAL MARKET, LLC

CRD#: 156352

CHICAGO, IL

Past

July 6, 2015 - August 10, 2017

MERIT SECURITIES, LLC

CRD#: 165470

Princeton, NJ

Past

March 8, 2013 - July 2, 2015

STOCK SECURITIES LLC

CRD#: 32244

STAMFORD, CT

Past

November 7, 2005 - November 26, 2012

TRIVE NEW YORK LLC

CRD#: 21946

PRINCETON, NJ

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

Series 63

Date: 4/29/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/10/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/3/2012

General Securities Principal Examination

Current Firm

OLD CITY SECURITIES LLC

CRD#: 171910 / SEC#: , 8-69488

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

589 Fifth Avenue Ph, New York, NY 10017

Mailing Address

445 Central Avenue, Suite 328, Cedarhurst, NY 11516

Phone number

(212) 671-1976

Established

New York since 04/25/2014

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
OLD CITY SECURITIES HOLDINGS GP	HOLDING COMPANY
BARNETT, TREVOR CLARK	MEMBER	4722196
DAMSKI, SETH ADAM	FOUNDING MEMBER	2940303
FELDMAN, EYTAN DOV	MEMBER, CCO, EXECUTIVE REP, AML SUPERVISOR	5708084
MARRONE, MICHAEL THOMAS	FINOP
SIRIGNANO, GEORGE AMERICUS	MANAGING MEMBER	6678999

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.

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Firm Stability Insights

Conrad A. Plimpton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MARCO POLO SECURITIES INC.

SPOUTING ROCK CAPITAL ADVISORS, LLC

RELIANCE WORLDWIDE INVESTMENTS, LLC

ENTREX CAPITAL MARKET, LLC

MERIT SECURITIES, LLC

STOCK SECURITIES LLC

TRIVE NEW YORK LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/29/2011

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/10/2005

Series 24

Date: 1/3/2012

Current Firm

OLD CITY SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

OLD CITY SECURITIES LLC

TRUST BUT VERIFY

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