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STEVE PLIMPTON

Managing Director

Investment Banking
Mergers & Acquisitions
Capital Formation
Registered Principal

 

Series 7, 3, 79, 63, 24

Since graduating from Harvard in 1997 (cum laude, psychology), Steve has contributed to a variety of commercial and non-profit organizations. He has helped build teams and businesses across a wide range of industries through expert leadership, front-line business development, sales and strategy. Steve has worked in the financial services sector and investment banking Since 2004.

Steve has also had the good fortune to travel extensively (for business and pleasure) and accumulate a range of experiences and skills. For example, he has earned a pilot’s license in Alaska, has gone on safari in Africa, has traveled by canal boat through Burgundy, has earned certificates in bartending and life coaching, has performed two weddings, has played in a professional rock band, has hiked numerous mountain ranges, and bungee-jumped. Most meaningful to Steve is being a husband and a dad of two boys. Steve also serves on the lay leadership (aka vestry) of his church and as a volunteer coach for some his boys’ sports.

Steve’s Experience

  • Founding partner of two successful firms: a merchant bank and a fund manager
  • Worked with founding CEO and shareholders to turn around a tech-enabled investment bank
  • Raised ~$600M for registered and exempt securities from retail and institutional investors; part of teams responsible for raising over $1.2B
  • Served as head of investment banking, head of sales and Chief Compliance Officer
  • Developed strategy and process for a range of financial products and services, including alternative investment fund development and distribution (wholesale and institutional); investment banking (M&A and capital raise); and crowdfunding platform finance
  • Presented at numerous conferences and seminars for both financial professionals and the general public on topics ranging from investing, investment products, sales and compliance

SteveĀ graduated cum laude from Harvard College in psychology. He holds his Series 7, 24, 3, 79 and 63 FINRA licenses. Steve resides in New Jersey with his wife and two boys.