Jeffrey Plummer Email & Phone Number
SVP, Chief Compliance Officer, Axos Securities @ Axos® Clearing, A Subsidiary of Axos Financial
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Jeffrey Plummer Location
- Omaha, NE, US
Jeffrey Plummer Work
- 2023 -now SVP, Chief Compliance Officer, Axos Securities @
- 2022 -2024 Owner @
- 2022 -2023 Global Regulatory Relations @
- 2022 -2022 Compliance Officer @
- 2015 -2022 Director, Regulatory and Compliance Matters @
- 2014 -2014 Senior Manager, AML Investigations @
- 2011 -2014 Senior Manager, Regulatory Compliance @
- 2006 -2011 Manager, Compliance Operations and Associate Surveillance @
- 2006 -2006 Corporate Compliance, Senior Fraud and Surveillance Analyst @
- 2004 -2006 Corporate Compliance, Client and Regulatory Relations Analyst @
- 2002 -2004 Client Services, Registered Representative, and Options Principal @
Jeffrey Plummer Education
- Bellevue University
Master of Business Adminstration (Finance)
2003-2004 - University of Nebraska-Lincoln
Bachelor of Science in Business Adminstration (Finance)
1997-2002
Jeffrey Plummer Skills
- Compliance
- Series 7
- Series 24
- Series 63
- Securities
- FINRA
- Risk Management
- Options
- Analysis
- Financial Services
- Financial Risk
- Trading
- Investments
- Equities
- Finance
- Graphics Design
- Investigation
- Design
- Mortgage
- Microsoft Office
- Research
- Anti Money Laundering
- Securities Regulation
- Public Speaking
- Graphics
- Management
- Healthcare
- Regulatory
- Microsoft Excel
Jeffrey Plummer Summary
- Jeffrey Plummer, based in Omaha, NE, US, is currently a SVP, Chief Compliance Officer, Axos Securities at Axos® Clearing, A Subsidiary of Axos Financial. Jeffrey Plummer brings experience from previous roles at StretchLab Franchise, PayPal and TD Ameritrade. Jeffrey Plummer holds a 2003 - 2004 Master of Business Adminstration in Finance @ Bellevue University. With a robust skill set that includes Compliance, Series 7, Series 24, Series 63, Securities and more. Jeffrey Plummer has 4 emails and 7 mobile phone numbers on RocketReach.
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