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DP

David N. Plotkin

JOHN HANCOCK INVESTMENT MANAGEMENT LLC
Simi Valley, CA
Some features on this profile are disabled
CRD#: 1233663
DP

Professional summary

David Neil Plotkin is a registered financial advisor currently at JOHN HANCOCK INVESTMENT MANAGEMENT LLC located in Simi Valley, California and JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Clemson, South Carolina.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. David has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
NAME OF BUSINESS: JOHN HANCOCK ASSET MANAGEMENT ( JHAM ); BUSINESS IS INVESTMENT RELATED. ADDRESS: 101 HUNTINGTON AVENUE, BOSTON MA, 02199. NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISER THAT IS AN AFFILIATE OF (JHF OR JHD) UNDER COMMON CONTROL. RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE. START DATE: (PROVIDED BY JHAM). APPROXIMATE NUMBER OF HOUR/MONTH INVOLVED IN THIS BUSINESS: 10. APPROXIMATE NUMBER OF HOURS INVOLVED IN THIS BUSINESS DURING SECURITIES TRADING HOURS: 10. DUTIES: MARKETING AND OFFERING, ON A WHOLESALE BASIS, THE SEPARATE MANAGED ACCOUNT STRATEGIES OF JHAM

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Neil Plotkin's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

November 8, 2018 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
Simi Valley, CA
Current

March 8, 2006 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
Clemson, SC
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

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.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(5/18/2021)
RR
California
(3/8/2006)
IAR
California
(11/8/2018)
IAR
Massachusetts
(11/8/2018)
RR
Massachusetts
(8/10/2020)
RR
Nevada
(8/10/2020)
RR
Utah
(8/10/2020)

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
SRO Registrations
RR
FINRA

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 (3/21/2025)
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#: 105790Simi Valley, CA

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