AP
Alan S. Plotkin
STIFEL, NICOLAUS & COMPANY
Westlake Village, CA 91361
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CRD#: 2195808
AP
Professional summary
Alan Scott Plotkin is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Westlake Village, California.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Alan has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Scott Plotkin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Scott Plotkin's 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®
NoneExperience
Current
April 25, 2008 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3075 Townsgate Road Suite 300, Westlake Village, CA 91361RIA
BD
CRD#: 793
Westlake Village, CA
Current
April 25, 2008 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3075 Townsgate Road Suite 300, Westlake Village, CA 91361RIA
BD
CRD#: 793
Westlake Village, CA
Past
January 1, 2008 - April 30, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WESTLAKE VILLAGE, CA
Past
January 1, 2008 - April 30, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WESTLAKE VILLAGE, CA
Past
March 29, 2001 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
WESTLAKE VILLAGE, CA
Past
June 5, 2000 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
WESTLAKE VILLAGE, CA
Past
March 26, 1996 - June 5, 2000
STONE & YOUNGBERG LLC
BD
CRD#: 795
SAN FRANCISCO, CA
Past
November 20, 1995 - March 25, 1996
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
BOSTON, MA
Past
May 4, 1992 - November 22, 1995
RSR CAPITAL GROUP, INC.
BD
CRD#: 27309
Past
March 18, 1992 - May 4, 1992
UNITED INTERNATIONAL SECURITIES, INC.
BD
CRD#: 27528
Past
January 17, 1992 - May 12, 1992
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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(4/25/2008)
RR
Arkansas(4/25/2008)
RR
California(4/25/2008)
IAR
California(4/25/2008)
RR
Colorado(1/2/2013)
RR
Florida(1/27/2025)
RR
Georgia(6/16/2017)
RR
Idaho(8/15/2022)
RR
Missouri(10/28/2020)
RR
Nevada(4/25/2008)
RR
New York(10/28/2020)
RR
Oregon(4/25/2008)
RR
Texas(7/28/2017)
RR
Utah(8/15/2016)
RR
Washington(4/25/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Westlake Village, CA 91361TRUST BUT VERIFY
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