James Neal Plummer

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/1986 → Present
  Price Greenleaf Inc
  Delmar, NY
• 07/1998 → Present
  Plummer Financial Services
  Delmar, NY
• 10/2001 → 09/2025
  Avantax Investment Services, Inc.
  Delmar, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Delmar, NY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2021-08-02 → 2025-09-05
  Avantax Advisory Services
  Delmar, NY

Other Businesses

1) Plummer Financial Services~'NIR'~295 Elsmere Ave.~Delmar~NY~12054~Tax Preparation/Accounting~Tax Preparation/Accounting~2/26/2004~60hrs~0hrs~Tax Preparation 2) NAME OF OTHER BUSINESS: PLUMMER FINANCIAL SERVICES INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/01/2018 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 50, APX NUMBER OF HOURS DURING TRADING HOURS: 35, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES

Exams

• S63 Uniform Securities Agent State Law Examination
  2002-01-04

Designations

• Certified Financial Planner