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RIA / WealthAdvisor36 years in industry

RICHARD WAYNE PLAMONDON

Advisor at LAZARI CAPITAL MANAGEMENT, INC.

BURBANK, CA

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Search this name across graphsid dfx:ria:dedb73c5-6d45-1780-ac4d-44aeeb3e38ee

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 1, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LAZARI CAPITAL MANAGEMENT, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 27, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Nov 27, 1989
First registration: Jun 1, 2006
Dual registered: no
Other names: DIEK PLAMONDON|RICHARD W PLAMONDON
IAPD individual key: 2004419

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LAZARI CAPITAL MANAGEMENT, INC.	Independent wealth	Oct 9, 2018	n/a	yes	BURBANK, CA	Current employment
MUTUAL ADVISORS, LLC	Bd affiliated wealth	Jul 1, 2013	Oct 4, 2018	no	GRANADA HILLS, CA	Previous registration
MUTUAL SECURITIES, INC.	Former SEC adviser	Dec 17, 2009	Jul 9, 2013	no	WESTLAKE VILLAGE, CA\|Granada Hills, CA	Previous registration
WEDBUSH SECURITIES INC.	Bd affiliated wealth	Jun 1, 2006	Dec 17, 2009	no	LOS ANGELES, CA\|ENCINO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MUTUAL ADVISORS, LLC	LAZARI CAPITAL MANAGEMENT, INC.	Oct 4, 2018	Oct 9, 2018	5	Firm change	Ibd to RIA
MUTUAL SECURITIES, INC.	MUTUAL ADVISORS, LLC	Jul 9, 2013	Jul 1, 2013	-8	Firm change	Other
WEDBUSH SECURITIES INC.	MUTUAL SECURITIES, INC.	Dec 17, 2009	Dec 17, 2009	0	Firm change	Other

Relationships

Registered with (4)

→ LAZARI CAPITAL MANAGEMENT, INC.Registered adviserregistration: current employment
Oct 9, 2018 to presentfactForm ADV
→ MUTUAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 1, 2013 to Oct 4, 2018factForm ADV
→ MUTUAL SECURITIES, INC.Registered adviserregistration: previous registration
Dec 17, 2009 to Jul 9, 2013factForm ADV
→ WEDBUSH SECURITIES INC.Registered adviserregistration: previous registration
Jun 1, 2006 to Dec 17, 2009factForm ADV

Dated events

No dated event names this entity yet.