DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Jeffrey Stephen Plesser
Feed of 09/14/2026
At current firm
2 y
since Apr 12, 2024
In the industry
24 y
since Apr 30, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Apr 12, 2024 · Tyler, Tx
- Park Avenue Securities LLC BD affiliatedSep 1, 2020 to Mar 1, 2024 · Hunt Valley, Md
- Fsc Securities Corporation formerMay 5, 2017 to Sep 3, 2020 · Elicott City, Md
- Sagepoint Financial, Inc. formerSep 26, 2014 to May 8, 2017 · Baltimore, Md
- Cambridge Investment Research Advisors, Inc. BD affiliatedJul 10, 2013 to Sep 19, 2014 · Hunt Valley, Md
- Chapin Davis Asset Management independent RIAAug 6, 2002 to Jul 11, 2013 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- Park Avenue Securities LLC to LPL Financial LLCleft Mar 1, 2024, registered Apr 12, 2024 (42 days) · Affiliated broker-dealer or bank to another
- Fsc Securities Corporation to Park Avenue Securities LLCleft Sep 3, 2020, registered Sep 1, 2020 (-2 days) · Affiliated broker-dealer or bank to another
- Sagepoint Financial, Inc. to Fsc Securities Corporationleft May 8, 2017, registered May 5, 2017 (-3 days) · Other
- Cambridge Investment Research Advisors, Inc. to Sagepoint Financial, Inc.left Sep 19, 2014, registered Sep 26, 2014 (7 days) · Other
- Chapin Davis Asset Management to Cambridge Investment Research Advisors, Inc.left Jul 11, 2013, registered Jul 10, 2013 (-1 days) · Other
Signals
- Jeffrey Stephen Plesser left Park Avenue Securities Llc for Lpl Financial Llc (registered 2024-04-12)Mar 1, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address