Rhett Plotner

CTX ASSET MANAGEMENT LLC

Dallas, TX

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CRD#: 5241582

Professional summary

Rhett Plotner, who also goes by Rhett Phillip Plotner, is a registered financial advisor currently at CTX ASSET MANAGEMENT LLC located in Dallas, Texas.

Rhett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Rhett has worked at 8 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7, Series 79, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rhett Phillip Plotner

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.

WebCRD - Rhett Plotner - CRD 5241582 CTX Asset Management LLC: Investment Related; 218 S Frances St, Dallas, TX 75211; Start date 05/2021; 10 hrs/week; IAR advising private funds; Beginning May 2021, Rhett Plotner will be engaged in an outside business activity acting as an officer/executive of a Texas RIA, formed as a Texas LLC with offices in Dallas, Texas. The company will receive advisory fees from private funds and may or may not compensate Mr. Plotner from the fee revenue. CTXAM has no owner affiliation with Mentor Securities or The Mentor Group. RMFP & Company, LLC; Pledge Enterprises LLC; CTX Cyber Ventures LLC; and CTX, LLC: Non-Investment Related; 218 S Frances St, Dallas, TX 75211; these entities are holding companies and do not have any business operations or activities. Mr. Plotner does not hold any office nor perform any services on behalf of these entities. 0 hrs/week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rhett Plotner'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®

None

Experience

Current

October 8, 2021 - Present

CTX ASSET MANAGEMENT LLC

RIA

CRD#: 312731

Dallas, TX

Past

October 29, 2019 - January 17, 2022

YOUNG AMERICA CAPITAL, LLC

CRD#: 150443

MAMARONECK, NY

Past

June 5, 2018 - April 24, 2019

RELIANCE WORLDWIDE INVESTMENTS, LLC

CRD#: 143546

GURNEE, IL

Past

February 14, 2013 - December 31, 2013

FIRST LIBERTIES FINANCIAL

CRD#: 14432

TAMPA, FL

Past

September 26, 2011 - July 12, 2012

BEST DIRECT SECURITIES, LLC

CRD#: 146053

CEDAR FALLS, IA

Past

April 13, 2011 - December 31, 2012

CONCORDIUS CAPITAL ADVISORS

RIA

CRD#: 142852

ORLANDO, FL

Past

April 13, 2011 - September 27, 2011

RAINMAKER SECURITIES, LLC

CRD#: 132995

CHICAGO, IL

Past

December 8, 2006 - June 24, 2008

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(8/29/2022)

IAR

Texas
(10/8/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/9/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/12/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/2/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/10/2018

General Securities Representative Examination

General Industry/Product Exam

Series 79

Date: 6/5/2018

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 6

Date: 12/7/2006

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/17/2019

General Securities Principal Examination

Current Firm

CTX ASSET MANAGEMENT LLC

CRD#: 312731 / SEC#:

Texas

Registered Investment Advisory firm - (10/8/2021 Approved)

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Contact information

Main Address

6004 Hudson Street #1, Dallas, TX 75206

Mailing Address

Phone number

(312) 909-0402

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Rhett Plotner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rhett Plotner's CRS (Customer Relationship Summary).

Certified licenses

Experience

YOUNG AMERICA CAPITAL, LLC

RELIANCE WORLDWIDE INVESTMENTS, LLC

FIRST LIBERTIES FINANCIAL

BEST DIRECT SECURITIES, LLC

CONCORDIUS CAPITAL ADVISORS

RAINMAKER SECURITIES, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/9/2021

Series 63

Date: 6/12/2018

Series 66

Date: 3/2/2011

SIE

Date: 10/1/2018

Series 7

Date: 7/10/2018

Series 79

Date: 6/5/2018

Series 6

Date: 12/7/2006

Series 24

Date: 12/17/2019

Current Firm

CTX ASSET MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

CTX ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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