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Paul C. Plunkett

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CRD#: 6183458
PP

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.

Paul Christopher Plunkett was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 2013. Paul had worked at 3 firms and has passed the SIE and Series 6 exams.

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Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

March 26, 2019 - July 30, 2019

FIRST PALLADIUM, LLC

BD
CRD#: 289822
FORT WAYNE, IN
Past

September 7, 2016 - December 4, 2017

MERCAP SECURITIES, LLC

BD
CRD#: 156607
ATLANTA, GA
Past

July 8, 2013 - April 19, 2016

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
FORT WAYNE, IN

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

General Industry/Product Exam
RR
SIE
Date: 12/4/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/8/2013
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FP
FIRST PALLADIUM, LLC
FIRST PALLADIUM, LLC

CRD#: 289822 / SEC#: , 8-70007

BD
Terminated by SEC on 04/02/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/13/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ASH BROKERAGE, LLCSHAREHOLDER
AMSTER, DAVID JEFFREYCCO2315254
BUSH, FRED COSTONPRINCIPAL OPERATIONS OFFICER3075024
GROVER, JASON EDWARDBOARD OF MANAGERS
MCGLOTHLIN, MICHAEL JAYCEO2257151
MCGLOTHLIN, MICHAEL JAYBOARD OF MANAGERS2257151

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

FIRST PALLADIUM, LLC

CRD#: 289822

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