Larry M. 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.
Larry Morris Plotkin was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1984. Larry had worked at 16 firms and has passed the Series 63, Series 6 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
April 20, 2009 - January 2, 2014
WORLD EQUITY GROUP, INC.
March 5, 2007 - April 17, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 6, 2006 - March 1, 2007
KESTRA INVESTMENT SERVICES, LLC
January 27, 2004 - December 31, 2005
PRIVATE CONSULTING GROUP, INC.
March 7, 2003 - November 14, 2003
WOODBURY FINANCIAL SERVICES, INC.
October 19, 1995 - November 15, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 19, 1995 - November 15, 1995
OSAIC FA, INC.
July 31, 1993 - November 8, 1994
CITIGROUP GLOBAL MARKETS INC.
June 11, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
September 23, 1991 - June 2, 1993
A. G. EDWARDS & SONS, INC.
November 19, 1989 - September 24, 1990
OSAIC WEALTH, INC.
April 25, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
October 27, 1987 - May 4, 1988
TOLUCA PACIFIC SECURITIES CORP.
December 12, 1986 - July 18, 1987
MONY SECURITIES CORPORATION
March 26, 1986 - November 10, 1986
GRANITE CAPITAL
March 22, 1984 - June 2, 1986
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
WORLD EQUITY GROUP, INC.
CRD#: 29087 / SEC#: 801-56328, 8-44088
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
WORLD EQUITY GROUP, INC.
CRD#: 29087 / SEC#: 801-56328, 8-44088
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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