Advisor at Plunkett, Richard J.
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Plunkett, Richard J.
Location
Carpinteria, CA
Credentials
Series 63
Industry experience
22 years
Richard Plunkett is the sole advisor at Plunkett, Richard J., an independent firm based in Carpinteria, CA. He holds a Series 63 designation and has 22 years of industry experience, operating his firm since 2011. Additionally, he has been self-employed since 1981 as an insurance agent selling fixed annuities through various carriers. Plunkett, Richard J. provides investment advice, asset-allocation guidance, fiduciary due diligence, and portfolio management primarily for individual and high-net-worth clients. The firm uses a tailored approach based on charting, fundamental and technical analysis, and conducts regular portfolio reviews, operating on a non-discretionary basis with client authorization for trades.
Commission-based compensation is reported in SEC Form ADV Part 1 but brochure states no outside compensation for sale of securities.
Carpinteria, CA
California
Plunkett, Richard J.
2011 - Present (15 years)
SELF EMPLOYED
1981 - Present (45 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Series 63, Series 65
Santa Barbara, CA
Double Springs Capital LLC
Series 65
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Montecito Investment Strategies
Series 63, Series 65
Santa Barbara, CA
Peckham, David A
CFA®, Series 63
Santa Barbara, CA
Placera Capital Management LLC
Series 66
Santa Barbara, CA
Ironcrest Capital Management LLC
Series 66
Santa Barbara, CA
Duran Capital Management, LLC
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