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RICHARD STEPHEN PLUTA
RICHARD S PLUTA
CRD#: 1232948
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 75 ROCKEFELLER PLZ
NEW YORK, NY 10019
Registration History
198519901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1990 - Present (34 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1984 - Present (41 years)
Disclosure(s)
View By:
4/2/2009
Customer Dispute
Denied
7/29/2002
Customer Dispute
Closed-No Action
5/10/1999
Customer Dispute
Denied
11/3/1989
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Arizona 1/29/2002

IA
New York 4/19/2021

B
California 11/1/1984

B
North Carolina 2/27/1997

B
Connecticut 9/17/1986

B
Ohio 8/2/1984

IA
Connecticut 10/22/1990

B
Oregon 11/20/2017

B
Delaware 1/18/2002

B
Pennsylvania 10/14/1993

B
District of Columbia 2/5/1988

B
Puerto Rico 3/13/2014

B
Florida 1/8/1988

B
Rhode Island 2/14/2014

B
Georgia 5/12/1992

B
South Carolina 2/6/1989

B
Illinois 5/2/1984

B
South Dakota 8/9/2023

B
Kentucky 10/25/2019

B
Tennessee 10/18/2011

B
Louisiana 7/27/2004

B
Texas 11/3/2011

B
Maine 9/14/2021

IA
Texas 11/3/2011

B
Maryland 9/18/1984

B
Utah 12/13/2010

B
Massachusetts 1/20/1988

B
Vermont 2/25/2002

B
Michigan 1/24/2002

B
Virgin Islands 12/11/2020

B
Nevada 1/29/2002

B
Virginia 7/13/1998

B
New Hampshire 3/11/2002

B
Washington 1/17/2002

B
New Jersey 9/17/1986

B
Wisconsin 1/28/2015

B
New York 4/25/1984

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
75 ROCKEFELLER PLZ, NEW YORK, NY 10019
2 PICKWICK PLZ, GREENWICH, CT 06830
Registered with this firm since 10/22/1990

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
75 ROCKEFELLER PLZ, NEW YORK, NY 10019
2 PICKWICK PLZ, GREENWICH, CT 06830
Registered with this firm since 1/26/1984

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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.