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
- SVP, Chief Compliance Officer, Axos Securities @ (April 2023 - Present)
- Owner @ (January 2022 - January 2024)
- Global Regulatory Relations @ (August 2022 - April 2023)
- Compliance Officer @ (May 2022 - August 2022)
- Director, Regulatory and Compliance Matters @ (January 2015 - June 2022)
- Senior Manager, AML Investigations @ (February 2014 - December 2014)
- Senior Manager, Regulatory Compliance @ (August 2011 - February 2014)
- Manager, Compliance Operations and Associate Surveillance @ (October 2006 - August 2011)
- Corporate Compliance, Senior Fraud and Surveillance Analyst @ (January 2006 - October 2006)
- Corporate Compliance, Client and Regulatory Relations Analyst @ (September 2004 - January 2006)
- Client Services, Registered Representative, and Options Principal @ (August 2002 - September 2004)
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 5 emails and 7 mobile phone numbers on RocketReach.
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