Maria Plante has been an investment adviser representative at Brown, Lisle/Cummings since November 2006, and is not listed among the firm’s executive officers or direct owners.
Brown, Lisle/Cummings, Inc. is a Providence, RI firm with $487M under management, 238 clients and 8 advisers in one office, as of its June 2026 filing.
Maria Plante’s longest registration is the current one, 19 years at Brown, Lisle/Cummings since 2006. Before joining Brown, Lisle/Cummings in 2006, Maria Plante was registered through Navigator Investment Management, LLC.
- Brown, Lisle/Cummings, IncCurrent– present · 19 yearsProvidence, RI · Adviser representative · Firm CRD 1331
- Navigator Investment Management, LLC– · 4 yearsProvidence, RI · Adviser representative · Firm CRD 109013
Investment adviser representative registrations
Maria Plante is registered as an investment adviser representative in Rhode Island, since November 2006.
- Rhode IslandSince 10 November 2006
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 4 | Registered Options Principal Examination | 22 April 1997 |
| Series 24 | General Securities Principal Examination | 28 October 1996 |
| Series 65 | Uniform Investment Adviser Law Examination | 11 March 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 January 1996 |
| Series 7 | General Securities Representative Examination | 12 December 1995 |
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Maria Ann Tzitzouris Plante
- CRD
- 2679468
- Firm
- Brown, Lisle/Cummings · CRD 1331
- Office
- 56 EXCHANGE TERRACE SUITE 300, Providence, RI 02903-1772
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 1995
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Maria Plante work?
Maria Plante is an investment adviser representative registered through Brown, Lisle/Cummings, Inc. since November 2006, and is not listed among the firm’s executive officers or direct owners.
Is Maria Plante a financial advisor?
Yes. Maria Plante has a current investment-adviser registration in Rhode Island, through Brown, Lisle/Cummings since November 2006.
How many years of experience does Maria Plante have?
Maria Plante has 30 years in the financial industry, since December 1995, across 2 adviser firms.
What exams has Maria Plante passed?
Maria Plante has passed 7 licensing exams: the Series 7, Series 63, Series 65, Series 24, Series 4, Series 14 and Series 99TO. The earliest, the Series 7, was passed in December 1995. FINRA credited Maria Plante with the SIE, which began in October 2018.
Where did Maria Plante work before Brown, Lisle/Cummings?
Before Brown, Lisle/Cummings, Maria Plante was registered through Navigator Investment Management, LLC, January 2000 to November 2004.
Where is Maria Plante based?
Maria Plante’s registered office is in Providence, RI.
Is Maria Plante registered with FINRA?
Yes. Maria Plante has a current broker registration, under CRD 2679468.
Source: FINRA BrokerCheck
How can I verify Maria Plante’s record?
Search CRD 2679468 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Maria Plante’s full registration record.