RP
RP
Richard Plunkett
22 Years of Experience
Carpinteria, CA
1 DisclosureMay Earn CommissionSells Insurance
Richard Plunkett is a registered investment advisor at Plunkett, Richard J., based in Carpinteria, CA, with 22 years of industry experience. Their practice areas include Investment Management. Their firm serves 5 clients with $1.8M in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)
Firm Size
1 advisor
IM Fee
Planning only
Assets Under Management
$1.8M
Fee Structure
Minimum Investment:None
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
Carpinteria, CA
Get directionsHistory
Regulatory History (1)
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Criminal
June 1973Final Disposition
Other Business ActivitiesSells Insurance
Richard has been self-employed as an insurance agent since 1981, selling fixed annuities through various carriers. This takes a few hours per week, some of which are during securities trading hours.
Employment History
Current Registrations
Plunkett, Richard J.
January 2017 - Present · 9 yrs 4 mos
Previous Registrations
Plunkett, Richard J.
May 2011 - December 2016 · 5 yrs 7 mos
Veritrust Financial, LLC
March 2010 - April 2011 · 1 yr 1 mo
Financial Network Investment Corporation
August 2008 - March 2010 · 1 yr 7 mos
Pension Planners Securities, INC.
November 2003 - August 2008 · 4 yrs 9 mos
State Registrations1 state
CA
Advisor
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.