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John Micheal Plumley

Equitable Advisors, LLC

Port Washington, WI

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Current Employers
Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2010-11-30
  • WI RA
    APPROVED
    Since 2010-11-30

Branch Locations

102 East Pier St, Port Washington, WI 53074 • 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
OrganizationCityStateFromTo
Axa Advisors, Llc New York NY 03/2010 06/2020
Equitable Advisors, Llc New York NY 03/2010 Present
Other Businesses

MPD Mounted Patrol Foundation President/Founder, 12/1/2018, 20/hrs Month, No comp. DBA: Lake Financial Group, LLC

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-11-17
S63 Uniform Securities Agent State Law Examination 2010-10-22
  • S65 Uniform Investment Adviser Law Examination
    2010-11-17
  • S63 Uniform Securities Agent State Law Examination
    2010-10-22
Other Names
  • John Michael Plumley

View on SEC IAPD

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Penny Beth Shelander
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Other Offices

ASSOCIATED INVESTMENT SERVICES, INC. · PORT WASHINGTON, WI
LPL FINANCIAL LLC · PORT WASHINGTON, WI
EDWARD JONES · PORT WASHINGTON, WI
LPL FINANCIAL LLC · PORT WASHINGTON, WI
EDWARD JONES · SAUKVILLE, WI
EQUITABLE ADVISORS, LLC · GRAFTON, WI
CETERA INVESTMENT ADVISERS LLC · Saukville, WI
MONEY CONCEPTS CAPITAL CORP · Grafton, WI

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