David Neil Plotkin
Professional Summary
David Neil Plotkin was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1984 - 2025. David had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
Past
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Current Firm
JOHN HANCOCK ADVISERS, INC | JOHN HANCOCK INVESTMENT MANAGEMENT, LLC | JOHN HANCOCK INVESTMENT MANAGEMENT LLC | JOHN HANCOCK ADVISERS, LLC
Contact Information
Main Address
200 Berkeley St., Boston, MA 02116-5022Phone Number
(617) 663-3000# of Employees
357SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
126AUM (Assets Under Management)
$212,052,000,251Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
JOHN HANCOCK ADVISERS, INC | JOHN HANCOCK INVESTMENT MANAGEMENT, LLC | JOHN HANCOCK INVESTMENT MANAGEMENT LLC | JOHN HANCOCK ADVISERS, LLC
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Sep 1984About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1984About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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