Kevin M. Plunkett
Professional summary
Kevin Michael Plunkett, who also goes by Kevin M Plunkett, is a registered financial advisor currently at SEMPER FINANCIAL located in Southern Pines, North Carolina.
Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Kevin has worked at 11 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Michael Plunkett's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 24, 2016 - Present
SEMPER FINANCIAL
January 3, 2005 - July 6, 2007
CARIS & COMPANY, INC.
February 16, 2000 - August 12, 2004
LAZARD FRERES & CO. LLC
June 5, 1998 - February 18, 2000
BNP PARIBAS SECURITIES CORP.
January 2, 1997 - February 4, 1998
ABN AMRO INCORPORATED
September 9, 1996 - January 2, 1997
THE CHICAGO CORPORATION
April 3, 1995 - September 17, 1996
CITIGROUP GLOBAL MARKETS INC.
March 9, 1993 - February 1, 1995
DB ALEX. BROWN LLC
February 26, 1990 - March 9, 1993
UBS SECURITIES LLC
February 27, 1980 - January 23, 1990
MORGAN STANLEY & CO. LLC
January 29, 1979 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/24/2016)
(4/21/2021)
(6/21/2024)
Exams
Series 55
Date: 8/19/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 4/25/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SEMPER FINANCIAL
CRD#: 158686 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 99 |
| AUM (Assets Under Management) | $ 36,000,000 |
Red Flags
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