Deborah E. Plummer
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.
Deborah E Plummer, who also goes by Deb Plummer, Debbie Plummer, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 2010. Deborah had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2020 - September 1, 2020
ASSETMARK BROKERAGE, LLC
May 27, 2014 - April 17, 2019
G.F. INVESTMENT SERVICES, LLC
May 1, 2012 - January 2, 2013
NYLIFE SECURITIES LLC
January 6, 2012 - February 24, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 16, 2010 - January 6, 2012
WORLD GROUP SECURITIES, INC.
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
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
