Francis R. Plummer

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CRD#: 721224

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.

Francis Raymond Plummer was a registered financial professional .

Francis is a previously registered financial professional and started their career in finance in 1980. Francis had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

July 1, 2011 - April 16, 2020

CREATIVE FINANCIAL DESIGNS, INC.

RIA

CRD#: 109032

ROCHESTER, MI

Past

June 26, 2009 - April 16, 2020

CFD INVESTMENTS, INC.

CRD#: 25427

ROCHESTER, MI

Past

March 17, 2009 - April 21, 2009

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

JOPLIN, MO

Past

February 15, 2007 - February 27, 2009

LEONARD & COMPANY

CRD#: 36527

BIRMINGHAM, MI

Past

September 22, 2003 - February 26, 2007

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

BIRMINGHAM, MI

Past

March 9, 2002 - September 19, 2003

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

November 1, 1999 - March 9, 2002

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

January 13, 1995 - November 12, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 5, 1990 - January 9, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

December 24, 1986 - July 17, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 28, 1983 - January 9, 1987

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

December 22, 1980 - April 4, 1983

A. G. EDWARDS & SONS, INC.

CRD#: 4

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".

CREATIVE FINANCIAL DESIGNS, INC.

CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.

CRD#: 109032 / SEC#: 801-60153

RIA

Registered Investment Advisory firm - (4/19/2001 Approved)

California

Registered Investment Advisory firm - (4/20/2001 Terminated)

Florida

Registered Investment Advisory firm - (4/19/2001 Terminated)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Iowa

Registered Investment Advisory firm - (5/20/2002 Terminated)

Kentucky

Registered Investment Advisory firm - (4/19/2001 Terminated)

Maryland

Registered Investment Advisory firm - (5/20/2002 Terminated)

Michigan

Registered Investment Advisory firm - (12/11/2001 Terminated)

Missouri

Registered Investment Advisory firm - (4/19/2001 Terminated)

New Jersey

Registered Investment Advisory firm - (4/19/2001 Terminated)

North Carolina

Registered Investment Advisory firm - (12/19/2006 Terminated)

Ohio

Registered Investment Advisory firm - (4/19/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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 65

Date: 5/31/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/31/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/27/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/20/1980

General Securities Representative Examination

Current Firm

CREATIVE FINANCIAL DESIGNS, INC.

CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.

CRD#: 109032 / SEC#: 801-60153

RIA

Registered Investment Advisory firm - (4/19/2001 Approved)

California

Registered Investment Advisory firm - (4/20/2001 Terminated)

Florida

Registered Investment Advisory firm - (4/19/2001 Terminated)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Iowa

Registered Investment Advisory firm - (5/20/2002 Terminated)

Kentucky

Registered Investment Advisory firm - (4/19/2001 Terminated)

Maryland

Registered Investment Advisory firm - (5/20/2002 Terminated)

Michigan

Registered Investment Advisory firm - (12/11/2001 Terminated)

Missouri

Registered Investment Advisory firm - (4/19/2001 Terminated)

New Jersey

Registered Investment Advisory firm - (4/19/2001 Terminated)

North Carolina

Registered Investment Advisory firm - (12/19/2006 Terminated)

Ohio

Registered Investment Advisory firm - (4/19/2001 Terminated)

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Contact information

Main Address

2704 S Goyer Rd, Kokomo, IN 46902

Mailing Address

P.o. Box # 2244, Kokomo, IN 46904-2244

Phone number

(765) 453-9600

Established

Firm type

Fiscal year end

# of Employees

150

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	14,029
AUM (Assets Under Management)	$ 2,478,773,967

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
01/05/2024	Cover Page	Report
01/10/2023	Cover Page	Report

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

Francis R. Plummer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CFD INVESTMENTS, INC.

MIDAMERICA FINANCIAL SERVICES, INC.

LEONARD & COMPANY

J.J.B. HILLIARD, W.L. LYONS, LLC

RBC CAPITAL MARKETS, LLC

TUCKER ANTHONY INCORPORATED

MORGAN STANLEY DW INC.

KIDDER, PEABODY & CO. INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

KIDDER, PEABODY & CO. INCORPORATED

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

CREATIVE FINANCIAL DESIGNS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/31/1994

Series 63

Date: 12/31/1980

SIE

Date: 10/1/2018

Series 3

Date: 11/27/1989

Series 7

Date: 12/20/1980

Current Firm

CREATIVE FINANCIAL DESIGNS, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CREATIVE FINANCIAL DESIGNS, INC.

TRUST BUT VERIFY

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