BP
Brent A. Plunkett
CHARTER WEALTH MANAGEMENT
Raleigh, NC 27615
Some features on this profile are disabled
CRD#: 5621748
BP
Professional summary
Brent Allen Plunkett, AIF®, who also goes by Brent A. Plunkett, is a registered financial advisor currently at CHARTER WEALTH MANAGEMENT located in Raleigh, North Carolina.
Brent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Brent has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brent A. Plunkett
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.
2008-PRESENT: LIFE INSURANCE AGENT/VARIOUS
CARRIERS/RALEIGH, NC/INDEPENDENT AGENT/MAY INVOLVE UP TO 50 HOURS PER MONTH INCLUDING DURING MARKET HOURS.//2014-PRESENT: WHALEWISDOM, LLC/NOT INVESTMENT RELATED/JOHNSON CITY, TN/ONLINE INVESTMENT EDUCATION SOLUTION/SHAREHOLDER & BUSINESS DEVELOPMENT/INVOLVES LESS THAN 10% TIME EACH MONTH, INCLUDING DURING TRADITIONAL MARKET HOURS.//
CRS (Client Relationship Summary) - RIA
Click below to view Brent Allen Plunkett'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®
Experience
Current
March 22, 2012 - Present
CHARTER WEALTH MANAGEMENT
Office #1: 8601 Six Forks Road Suite 400, Raleigh, NC 27615RIA
CRD#: 162299
Raleigh, NC
Past
May 24, 2011 - April 3, 2012
HBW ADVISORY SERVICES LLC
RIA
CRD#: 143665
CHICAGO, IL
Past
April 14, 2011 - March 8, 2012
HBW SECURITIES LLC
BD
CRD#: 136959
CHICAGO, IL
Past
January 20, 2009 - March 25, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
CHICAGO, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CW
CHARTER WEALTH MANAGEMENT
CHARTER WEALTH MANAGEMENT | PLUNKETT WEALTH MANAGEMENT, INC. | PLUNKETT WEALTH MANAGEMENT | CHARTER WEALTH MANAGEMENT, INC.
CRD#: 162299 / SEC#: 801-117854
RIA
Registered Investment Advisory firm - (1/3/2020 Approved)Alabama
Registered Investment Advisory firm - (1/9/2020 Terminated)Illinois
Registered Investment Advisory firm - (1/9/2020 Terminated)Mississippi
Registered Investment Advisory firm - (1/9/2020 Terminated)North Carolina
Registered Investment Advisory firm - (1/28/2020 Terminated)Tennessee
Registered Investment Advisory firm - (1/15/2020 Terminated)Texas
Registered Investment Advisory firm - (1/9/2020 Terminated)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.Highlighted states indicate IAR registrations
IAR
Alabama(5/3/2016)
IAR
Illinois(3/22/2012)
IAR
Mississippi(4/28/2015)
IAR
North Carolina(12/3/2012)
IAR
Tennessee(3/20/2015)
IAR
Texas(3/24/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
CW
CHARTER WEALTH MANAGEMENT
CHARTER WEALTH MANAGEMENT | PLUNKETT WEALTH MANAGEMENT, INC. | PLUNKETT WEALTH MANAGEMENT | CHARTER WEALTH MANAGEMENT, INC.
CRD#: 162299 / SEC#: 801-117854
RIA
Registered Investment Advisory firm - (1/3/2020 Approved)Alabama
Registered Investment Advisory firm - (1/9/2020 Terminated)Illinois
Registered Investment Advisory firm - (1/9/2020 Terminated)Mississippi
Registered Investment Advisory firm - (1/9/2020 Terminated)North Carolina
Registered Investment Advisory firm - (1/28/2020 Terminated)Tennessee
Registered Investment Advisory firm - (1/15/2020 Terminated)Texas
Registered Investment Advisory firm - (1/9/2020 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
8601 Six Forks Road Suite 400, Raleigh, NC 27615
Mailing Address
Phone number
(919) 729-2100
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 263 |
| AUM (Assets Under Management) | $ 175,566,963 |
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.
Company Information
CHARTER WEALTH MANAGEMENT
CRD#: 162299Raleigh, NC 27615TRUST BUT VERIFY
Monitor Brent Plunkett
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
