Andrew J. Plucker
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.
Andrew Jonathan Plucker, who also goes by Andy Jonathan Plucker, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2008. Andrew had worked at 3 firms and has passed the SIE and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2010 - December 7, 2022
LOCKTON INVESTMENT SECURITIES, LLC
August 4, 2009 - September 30, 2009
KESTRA INVESTMENT SERVICES, LLC
October 2, 2008 - August 7, 2009
HORNOR, TOWNSEND & KENT, 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
LOCKTON INVESTMENT SECURITIES, LLC
CRD#: 137476 / SEC#: , 8-67090
Contact information
FINRA licenses (52 States and Territories)
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.
