Thomas M Rizzo

Current Employers

Plectrum Advisers Llc

Altadena, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2016-05-20

CA RA
APPROVED

Since 2016-05-20

Branch Locations

Altadena, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Plectrum, Inc	Burbank	CA	06/1995	Present
Plectrum Advisers, Llc	Burbank	CA	03/2016	Present

06/1995 → Present

Plectrum, Inc

Burbank, CA
03/2016 → Present

Plectrum Advisers, Llc

Burbank, CA

Other Businesses

I SERVE AS PRESIDENT OF PLECTRUM, INC., A MUSIC ENTERTAINMENT BUSINESS THAT I CO-FOUNDED WITH MY WIFE IN 1995. THIS BUSINESS IS LOCATED AT 251 SOUTH KEYSTONE ST, BURBANK, CA 91506. I SPEND APPROXIMATELY 10% OF MY TIME ON THIS ENTERPRISE, WHICH MAY INCLUDE TIME DURING SECURTIIES TRADING HOURS,

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-02-22

S65 Uniform Investment Adviser Law Examination

2016-02-22