James Plummer is a CFP-designated registered investment advisor, based in Delmar, NY, with 25 years of industry experience.
Location
Delmar, NY
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Regulatory History
Clean regulatory record
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
September 2025 - Present · 8 mos
Cetera Wealth Services, LLCBroker
September 2025 - Present · 8 mos
Previous Registrations
Avantax Advisory Services
August 2021 - September 2025 · 4 yrs 1 mo
Avantax Investment Services, INC.Broker
December 2001 - September 2025 · 23 yrs 9 mos
Ids Marketing CorporationBroker
October 1984 - June 1986 · 1 yr 8 mos
Ids Financial Services INC.Broker
October 1984 - June 1986 · 1 yr 8 mos
State Registrations6 states
COFLNYOHTNVA
AdvisorBrokerBoth
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
No exam information available for this advisor.