Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Plotkin is a registered representative with Stifel, Nicolaus & Company, Inc. Alan has been in the securities industry since January 1992 and is currently registered with the state of California as an investment advisor representative. Alan has a background in securities, investment advisory services, and financial planning. Alan has experience working with various client types, including high-net-worth individuals, insurance companies, charitable organizations, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, and state or municipal government entities.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
04/25/2008 - Present
Stifel, Nicolaus & Company, Inc. (WESTLAKE VILLAGE CA)
CA
01/01/2008 - 04/30/2008
WACHOVIA SECURITIES, LLC (WESTLAKE VILLAGE CA)
CA
06/05/2000 - 01/03/2008
A. G. EDWARDS & SONS, INC. (WESTLAKE VILLAGE CA)
CA
03/26/1996 - 06/05/2000
STONE & YOUNGBERG LLC (SAN FRANCISCO CA)
MA
11/20/1995 - 03/25/1996
ASSOCIATED SECURITIES CORP. (BOSTON MA)
NA
05/04/1992 - 11/22/1995
RSR CAPITAL GROUP, INC.
CA
01/17/1992 - 05/12/1992
BARABAN SECURITIES, INC. (LOS ANGELES CA)
NA
03/18/1992 - 05/04/1992
UNITED INTERNATIONAL SECURITIES, INC.
BC
Issued 01/24/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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