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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you J? Claim Your ProfileJ Daniel Pluff is a financial advisor with over 37 years of experience in the financial services industry. Currently, J Daniel Pluff is registered with RBC Capital Markets, LLC and has been with the firm since October 2023. Prior to joining RBC Capital Markets, LLC, J Daniel Pluff was a financial advisor at Morgan Stanley for over 14 years. J Daniel Pluff holds FINRA Series 3, 7, 8, 9, 10, 63, and 65 licenses. J Daniel Pluff is also registered with the state of New York. J Daniel Pluff specializes in providing financial advice to individuals, families, businesses, and institutions. J Daniel Pluff's areas of expertise include investment management, financial planning, and retirement planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NY
10/05/2023 - Present
RBC Capital Markets, LLC (SYRACUSE NY)
NY
06/01/2009 - 10/17/2023
MORGAN STANLEY (Syracuse NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SYRACUSE NY)
NY
02/16/1988 - 04/02/2007
MORGAN STANLEY DW INC. (SYRACUSE NY)
NA
01/21/1986 - 03/16/1988
E. F. HUTTON & COMPANY INC
IA
Issued 07/09/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/11/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/11/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/1993
Series 3 - National Commodity Futures Examination
BC
Issued 01/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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