Career
Justin Plouffe has been Chief Financial Officer - the Carlyle Group of Carlyle Investment Management since January 2026. Justin Plouffe is a control person of the firm and directly owns under 5% of it.
Carlyle Investment Management L.L.C. is a Washington, DC firm with $284B under management, 612 clients and 317 advisers across 5 offices, as of its July 2026 filing.
Justin V. Plouffe joined Carlyle in 2007 and is its chief financial officer. His earlier work included investing across Carlyle’s credit strategies; before joining the firm, he practiced law at Ropes & Gray.
No adviser firm registrations are on Justin Plouffe’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 79 | Investment Banking Registered Representative Examination | 15 March 2018 |
| Series 57 | Securities Trader Exam | 13 March 2018 |
| Series 24 | General Securities Principal Examination | 22 December 2016 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 October 2013 |
| Series 7 | General Securities Representative Examination | 30 August 2013 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Trader Exam
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Justin Plouffe
- CRD
- 6223477
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Justin Plouffe work?
Justin Plouffe has been Chief Financial Officer - the Carlyle Group of Carlyle Investment Management L.L.C. since January 2026, and is a control person of the firm.
Does Justin Plouffe have a current investment-adviser registration?
Justin Plouffe has a current broker registration and no current investment-adviser registration.
What exams has Justin Plouffe passed?
Justin Plouffe has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 57, Series 79 and Series 99TO. The earliest, the Series 7, was passed in August 2013. FINRA credited Justin Plouffe with the SIE, which began in October 2018.
Leadership at Carlyle Investment Management
- Harvey SchwartzChief Executive Officer - the Carlyle Group
- John RedettCo-President and Head of Private Equity - the Carlyle Group
- Lindsay LobueChief Operating Officer - the Carlyle Group
- Catherine ZiobroChief Compliance Officer - the Carlyle Group
- Kate HeinzelmanGeneral Counsel - the Carlyle Group
- Heather MitchellChief Risk Officer - the Carlyle Group