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MML Advisor Jarad Plummer Under Investigation: Insurance Sales
Chicago financial advisor Jarad Plummer (CRD# 5782125) is under investigation by state securities regulators in connection with allegations concerning the sale of insurance products. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with MML Investors Services.
Mr. Plummer’s BrokerCheck report discloses the probe into his conduct. Filed in September 2022, the disclosure states that he “received notice of an investigation from the Illinois Securities Division related to the sale of insurance products and advisory disclosures.” The disclosure does not provide any additional information regarding the investigation, which remains pending.
According to the Financial Industry Regulatory Authority, Jarad Plummer holds 12 years of securities industry experience. Based in Chicago, Illinois, he has been a broker and an investment advisor with MML Investors Services since 2017. His past registrations include Eagle Strategies (Chicago, Illinois; 2017) and NYLife Securities (Chicago, Illinois; 2010-2017). He was the owner of J. Plummer Financial Group from 2014 until 2017 and is currently the Vice President of Lenox Advisors, according to his BrokerCheck report, which also lists his status as an agent of Mass Mutual Life Insurance Company. His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is currently licensed in California, Florida, Georgia, Illinois, Indiana, Michigan, Tennessee, and Texas. (Information current as of January 8, 2023.)
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