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DP

David N. Plotkin

Some features on this profile are disabled
CRD#: 1233663
DP

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.

David Neil Plotkin was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1984. David had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 8, 2018 - December 31, 2025

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
Simi Valley, CA
Past

August 31, 2018 - November 8, 2018

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
MOORPARK, CA
Past

March 24, 2006 - December 31, 2016

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
BOSTON, MA
Past

March 23, 2006 - December 31, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
BOSTON, MA
Past

March 8, 2006 - December 31, 2025

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

September 16, 2004 - October 21, 2005

PROVASI CAPITAL PARTNERS LP

BD
CRD#: 119539
DALLAS, TX
Past

January 25, 2002 - September 13, 2004

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH
Past

October 23, 1997 - February 5, 2002

MM ASCEND LIFE INVESTOR SERVICES, LLC

BD
CRD#: 36451
CINCINNATI, OH
Past

October 1, 1997 - October 28, 1997

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

June 18, 1996 - October 1, 1997

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

BD
CRD#: 5178
FORT WAYNE, IN
Past

June 27, 1995 - June 20, 1996

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

July 29, 1985 - June 9, 1995

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

February 27, 1984 - August 13, 1985

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JH
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
JOHN HANCOCK ADVISERS, INC | JOHN HANCOCK INVESTMENT MANAGEMENT, LLC | JOHN HANCOCK INVESTMENT MANAGEMENT LLC | JOHN HANCOCK ADVISERS, LLC

CRD#: 105790 / SEC#: 801-8124

RIA
Registered Investment Advisory firm - (12/12/1971 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/10/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/8/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 9/13/1984
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/24/1984
Investment Company Products/Variable Contracts Representative Examination

Current Firm

JH
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
JOHN HANCOCK ADVISERS, INC | JOHN HANCOCK INVESTMENT MANAGEMENT, LLC | JOHN HANCOCK INVESTMENT MANAGEMENT LLC | JOHN HANCOCK ADVISERS, LLC

CRD#: 105790 / SEC#: 801-8124

RIA
Registered Investment Advisory firm - (12/12/1971 Approved)
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Contact information

Main Address
200 Berkeley St., Boston, MA 02116-5022
Mailing Address
Phone number
(617) 663-3000
Established
Firm type
Fiscal year end
# of Employees
363

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MODEL PORTFOLIOS SERVICES (12/17/2025)
JOHN HANCOCK INVESTMENT MANAGEMENT LLC (3/21/2025)

Regulatory assets under management

Total Number of Accounts35,239
AUM (Assets Under Management)$ 202,193,176,436

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.

Company Information

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

CRD#: 105790

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Contact information

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