Rakif R. Plotkin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rakif Ronald Plotkin, who also goes by Ron Plotkin, was a registered financial professional .
Rakif is a previously registered financial professional and started their career in finance in 1983. Rakif had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 1989 - March 13, 1989
ALL-TECH DIRECT, INC.
November 3, 1988 - December 17, 1988
POWER SECURITIES CORPORATION
July 19, 1988 - February 14, 1989
KOBER FINANCIAL CORP.
August 28, 1987 - July 15, 1988
R.B. MARICH, INC.
November 24, 1986 - August 24, 1987
THOMSON MCKINNON SECURITIES INC.
August 23, 1985 - November 19, 1986
THE STUART-JAMES COMPANY, INCORPORATED
April 11, 1984 - August 22, 1985
JM DISSOLUTION, INC.
December 15, 1983 - March 7, 1984
WESTCAP SECURITIES, L.P.
July 20, 1983 - December 27, 1983
JHM, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALL-TECH DIRECT, INC.
CRD#: 13992 / SEC#: , 8-26336
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSHMORE FINANCIAL SERVICES | SHAREHOLDER | |
| HOUTKIN, HARVEY IRA | MSRP | 251066 |
| HOUTKIN, HARVEY IRA | CHAIRMAN OF BOARD /CEO/SECY | 251066 |
| LEFKOWITZ, HARRY MARTIN | DIRECTOR | 1454925 |
| LERNER, LINDA | CHIEF LEGAL OFFICER | 2350733 |
| MARGA, STEPHEN JOHN JR | SROP/CROP | 2276644 |
| OGELE, FRANKLIN IHENDU | CHIEF COMPLIANCE OFFICER/FIN OP | 2197820 |
| SHEFTS, MARK DAVID | PRESIDENT/DIRECTOR | 709147 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
