SP
SP
Scott Pluschau
26 Years of Experience
Riverhead, NY
2 DisclosuresBroker
Scott Pluschau is a registered investment advisor at J.P. Morgan Securities LLC, based in Riverhead, NY, with 26 years of industry experience. Scott is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B
Fee Structure
Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 0.60% |
| $250K+ | 0.50% |
Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
7 West Main Street, Riverhead, NY, 11901
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2008Denied
Customer Dispute
September 2008Denied
Employment History
Current Registrations
J.P. Morgan Securities LLCBroker
April 2024 - Present · 2 yrs 6 mos
J.P. Morgan Securities LLC
April 2024 - Present · 2 yrs 6 mos
Previous Registrations
Citigroup Global Markets INC.
February 2020 - April 2024 · 4 yrs 2 mos
Citigroup Global Markets INC.Broker
June 2015 - April 2024 · 8 yrs 10 mos
J.P. Morgan Securities LLCBroker
May 2014 - May 2015 · 1 yr
Citigroup Global Markets INC.Broker
May 2007 - July 2009 · 2 yrs 2 mos
Citigroup Global Markets INC.
May 2007 - July 2009 · 2 yrs 2 mos
Citicorp Investment Services
December 2004 - May 2007 · 2 yrs 5 mos
Citicorp Investment ServicesBroker
September 1997 - May 2007 · 9 yrs 8 mos
Continental Broker-Dealer CORP.Broker
August 1994 - January 1997 · 2 yrs 5 mos
State Registrations9 states
CACTFLMAMTNCNJNYTX
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.
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