Howard R. 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.
Howard R Plotkin, who also goes by Howard R. Plotkin, Howard Russ Plotkin, Howard Plotkin, Howard R Plotkin, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1996. Howard had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2023 - June 3, 2026
CREDIT AGRICOLE SECURITIES (USA) INC.
February 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 ExamCurrent 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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