James Plummer is a CFP-designated registered investment advisor, based in Delmar, NY, with 26 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Delmar, NY
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is involved in tax preparation and accounting through Plummer Financial Services. He also works as an insurance agent selling life insurance and annuities through Avantax Insurance, dedicating a few hours per week to this.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Avantax Advisory Services
Avantax Investment Services, INC.Broker
Ids Marketing CorporationBroker
Ids Financial Services INC.Broker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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