Joseph M. Plume

OLIVER WEALTH MANAGEMENT

Towson, MD 21204

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CRD#: 6826151

Professional summary

Joseph Michael Plume Jr, who also goes by Joseph Michael Plume, Joseph Plume, is a registered financial advisor currently at OLIVER WEALTH MANAGEMENT located in Towson, Maryland.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Joseph has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Michael Plume | Joseph Plume

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.

1) The L. Warner Companies, Inc.; 9690 Deereco Road, Suite 650, Timonium, MD 21093; 03/01/2021; Associate Director; Duties associated with Member Firm responsibilities; Investment Related; 160 hours/month; 160 hours/month during business hours; Wages/Salary.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Plume Jr's CRS (Customer Relationship Summary).

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

June 3, 2024 - Present

OLIVER WEALTH MANAGEMENT

Office #1: 901 Dulaney Valley Road Suite 701, Towson, MD 21204

RIA

CRD#: 314867

Towson, MD

Past

March 24, 2022 - April 22, 2024

THE L. WARNER COMPANIES, INC

RIA

CRD#: 108001

TIMONIUM, MD

Past

April 22, 2021 - April 23, 2024

M HOLDINGS SECURITIES, INC.

CRD#: 43285

TIMONIUM, MD

Past

October 24, 2017 - March 4, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HUNT VALLEY, MD

Past

September 20, 2017 - March 4, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HUNT VALLEY, MD

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".

OLIVER WEALTH MANAGEMENT

GUNPOWDER CAPITAL MANAGEMENT, LLC | OLIVER WEALTH MANAGEMENT

CRD#: 314867 / SEC#: 801-121543

RIA

Registered Investment Advisory firm - (6/21/2021 Approved)

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

Maryland
(6/3/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/23/2017

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: 9/20/2017

General Securities Representative Examination

Current Firm

OLIVER WEALTH MANAGEMENT

GUNPOWDER CAPITAL MANAGEMENT, LLC | OLIVER WEALTH MANAGEMENT

CRD#: 314867 / SEC#: 801-121543

RIA

Registered Investment Advisory firm - (6/21/2021 Approved)

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Contact information

Main Address

901 Dulaney Valley Road Suite 701, Towson, MD 21204

Mailing Address

Phone number

(410) 343-7125

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OWM DISCLOSURE BROCHURE (ADV PART 2A) (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,291
AUM (Assets Under Management)	$ 297,623,713

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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Advisor Monitoring

Firm Stability Insights

Joseph M. Plume

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Plume Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE L. WARNER COMPANIES, INC

M HOLDINGS SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

OLIVER WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 10/23/2017

SIE

Date: 10/1/2018

Series 7

Date: 9/20/2017

Current Firm

OLIVER WEALTH MANAGEMENT

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OLIVER WEALTH MANAGEMENT

TRUST BUT VERIFY

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