Howard R. Plotkin
Professional summary
Howard R Plotkin, who also goes by Howard R. Plotkin, Howard Russ Plotkin, Howard Plotkin, Howard R Plotkin, is a registered financial professional currently at CREDIT AGRICOLE SECURITIES (USA) INC. located in New York, New York.
Howard is registered as a RR (Registered Representative) and started their career in finance in 1996. Howard has worked at 9 firms and has passed the Series 57TO, SIE, Series 7, Series 3, Series 14, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Howard R Plotkin's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 14, 2023 - Present
CREDIT AGRICOLE SECURITIES (USA) INC.
Office #1: 1301 Avenue Of The Americas 9th Floor, New York, NY 10019February 28, 2019 - January 11, 2022
FIRST CITIZENS CAPITAL SECURITIES, LLC
February 1, 2010 - May 18, 2018
RBC CAPITAL MARKETS, LLC
December 9, 2008 - October 30, 2009
BARCLAYS CAPITAL INC.
September 15, 2000 - December 15, 2008
LEHMAN BROTHERS INC.
March 19, 1998 - August 30, 2000
SALOMON REINVESTMENT COMPANY INC
November 28, 1997 - August 30, 2000
CITIGROUP GLOBAL MARKETS INC.
March 13, 1996 - September 1, 1998
SALOMON BROTHERS INC.
February 1, 1996 - March 8, 1996
GOLDMAN SACHS & CO. 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 57TO
Date: 1/2/2023
Securities Trader ExamFINRA
NYSE American LLC
New York Stock Exchange
Current Firm
CREDIT AGRICOLE SECURITIES (USA) INC.
CRD#: 190 / SEC#: , 8-13753
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI") | SHAREHOLDER | |
| ARNAL, CELINE | DIRECTOR | 7247072 |
| GEROLD, MARIA TERESA | CFO | 5967881 |
| HETIER, FRANCOIS-EDOUARD MARIE MARC | DIRECTOR | 7817148 |
| KURZ, WILLIAM FRANK | MEMBER OF THE BOARD OF DIRECTORS AND COO | 7602164 |
| PUBLIE, STEPHANE | INTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS | 5978052 |
| YOUN, EDWARD KYUNG-HO | CHIEF COMPLIANCE OFFICER | 6723958 |
| ZAFAR, KASHIF | MANAGING DIRECTOR | 2666642 |
Disclosures
| Regulatory Event | 18 |
Red Flags
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