Victim of Financial Fraud? Call Now

Jarad Plummer Investigated by State of Illinois

Dec 21, 2022 Blue Sky Laws

Jarad Plummer (CRD #: 5782125), a broker registered with MML Investors Services, is the subject of a state investigation, according to his BrokerCheck record, accessed on December 7, 2022. If you want to know more about his alleged conduct as a broker, read on.

Pending Investigation

On September 26, 2022, the State of Illinois Securities Department notified Jarad Plummer of an investigation regarding his sale of insurance products and advisory disclosures. This investigation is ongoing.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Jarad Plummer has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Jarad Plummer is a registered broker in eight states and a registered investment adviser in Illinois and Texas.

He has also worked for Eagle Strategies (CRD#:110826) and NYLIFE Securities (CRD#:5167).

Kurta Law Can Help

If you worked with Jarad Plummer and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.