Glenn 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.
Glenn Plotkin, who also goes by Glenn Harlowe Plotkin, was a registered financial advisor .
Glenn is a previously registered financial advisor and started their career in finance in 1985. Glenn had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2015 - December 31, 2018
ALLSTATE FINANCIAL SERVICES, LLC
April 14, 2015 - December 31, 2018
EVERLAKE DISTRIBUTORS, LLC
February 9, 2004 - November 22, 2004
NEW ENGLAND SECURITIES
December 12, 2003 - November 22, 2004
NEW ENGLAND SECURITIES
January 3, 2000 - August 14, 2003
SUNSET FINANCIAL SERVICES, INC.
July 16, 1999 - August 14, 2003
SUNSET FINANCIAL SERVICES, INC.
September 15, 1997 - October 29, 1998
BOK FINANCIAL SECURITIES, INC.
September 30, 1996 - June 2, 1997
EQUITY SERVICES, INC.
June 5, 1993 - February 14, 1995
SIGNATOR INVESTORS, INC.
June 5, 1993 - September 24, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 29, 1988 - June 18, 1991
SECURITY INVESTMENT COMPANY OF KANSAS CITY
December 16, 1986 - May 5, 1987
GKB, INC.
November 19, 1985 - October 27, 1986
CREDIT SUISSE SECURITIES (USA) LLC
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
Series 5
Date: 12/5/1985
Interest Rate Options ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
